Hong Kong SAR

Compliance

Group Functions

Your role

Do you have sharp analytic skills? Are you a stickler for getting things right? We are looking for someone like that to:
• conduct enhanced due diligence on high risk client on-boarding requests, including identification and assessment of any financial crime risks, reputational risks and the plausibility and corroboration of source of wealth
• liaise confidently with the front office staff, KYC teams and colleagues in business lines to coordinate the assessment and provide a final decision
• conducting enhanced due diligence on newly higher risk clients at least quarterly, including review of the account activities and assessment of any financial crime risks and reputational risks that are emerged in the existing relationships
• communicate decisions to Business Heads on whether the relationships can be retained or terminated amid change of risk level in structural and detailed manner
• provide subject matter expert advices to Business on financial crimes topics arisen at on-boarding stage and during client life-cycle
• review the way financial crime policies and procedures are executed at various stages in the client life-cycle to ensure adherence to applicable KYC and Financial Crime due diligence standards
• report any findings and following them through to resolution
• working both within the Group Compliance and Operational Risk Control team and the business to deliver on strategic projects and commitments

Job Reference #

340522BR

City

Hong Kong SAR

Job Type

Full Time

Your team

You’ll be working in the Group Compliance and Operational Risk Control team mainly in Hong Kong as well as possibly other locations in APAC. We offer an exciting, fast-paced working environment, a culture of mutual respect and teamwork and the opportunity to play a vital role in our growth.

Your expertise

You have:
• at least 3 years of relevant experience
• a good understanding of the compliance issues and private banking industry
• good general knowledge of relevant AML regulations in key jurisdictions in Asia including Hong Kong and Singapore. Other Compliance knowledge and experience a plus
• a collaborative approach to achieving goals, ready to take initiatives, actively share information, and be willing to undertake a variety of roles within Financial Crime team as required
• an ability to build and sustain strong relationships with business staff and management and with colleagues in the team, locally, regionally and globally
• good Microsoft Office skills. Knowledge of monitoring systems a plus

You are:
• able to critically challenge the status quo with an independent mindset
• reliable and resilient (challenging situations and conversations don’t scare you)
• fluent in English and Mandarin
• you’re curious to explore how AI can improve how we build, deliver, and optimize workflows. You do this with sound judgment – validating outputs and aligning with policies, risk standards, and ethical use.

About us

UBS is a leading and truly global wealth manager and the leading universal bank in Switzerland. We also provide diversified asset management solutions and focused investment banking capabilities. Headquartered in Zurich, Switzerland, UBS is present in more than 50 markets around the globe.
We know that great work is never done alone. That’s why we place collaboration at the heart of everything we do. Because together, we’re more than ourselves. Want to find out more? Visit ubs.com/careers.

Join us

At UBS, we know that it's our people, with their diverse skills, experiences and backgrounds, who drive our ongoing success. We’re dedicated to our craft and passionate about putting our people first, with new challenges, a supportive team, opportunities to grow and flexible working options when possible. Our inclusive culture brings out the best in our employees, wherever they are on their career journey. And we use artificial intelligence (AI) to work smarter and more efficiently. We also recognize that great work is never done alone. That’s why collaboration is at the heart of everything we do. Because together, we’re more than ourselves.
We’re committed to disability inclusion and if you need reasonable accommodation/adjustments throughout our recruitment process, you can always contact us.

Contact Details

UBS Business Solutions SA
UBS Recruiting

Disclaimer / Policy statements

UBS is an Equal Opportunity Employer. We respect and seek to empower each individual and support the diverse cultures, perspectives, skills and experiences within our workforce.