Wealth Management Compliance Officer

3 weeks ago

Sydney, Australia UBS Full time

Australia
- Compliance
- Group Functions

**Job Reference #**
- 291530BR

**City**
- Sydney

**Job Type**
- Full Time

**Your role**
- Do you have a minimum 3 years of experience in providing compliance or risk advisory services within a private banking or wealth management environment? Do you enjoy advising and supporting front office colleagues to ensure compliance? Are you confident when it comes to speaking up for what is right and challenging at all levels?
- We are looking for a compliance and operational risk officer to:
- support the wealth management business in remaining compliant within the Australian regulatory environment and managing its risk
- drive the identification, assessment, measurement, mitigation and monitoring of compliance and operational risk as it pertains to the wealth management business
- participate in reviewing new business initiatives and transactions requiring pre-approval
- ensure risk frameworks are designed well and operating effectively
- review business marketing materials
- provide business management with advice and guidance on controls, tools, training, frameworks, information and insights required for them to manage risk

**Your team**
- You’ll be working in the wealth management aligned Compliance and Operational Risk Control (C&ORC) team based across Sydney and Melbourne, Australia. We support the wealth management business to grow in a responsible way by working with them to effectively manage regulatory and emerging risks in an environment of collaboration and constructive challenge. Our duties include ensuring that regulatory and operational risks are identified, properly assessed and recorded. You'll play an important role in helping us develop risk mitigating measures, controls and adequate remediation plans when needed.
- You will be expected to effectively collaborate with the business, legal and other control functions to ensure that practices, processes, and controls are in compliance with applicable laws, rules and regulations.

**Your expertise**
- proven financial services compliance or risk advisory experience with a minimum 3 + years, ideally within a wealth management or private banking environment in Australia
- sound know-how in the analysis of business processes
- good working knowledge of the Australian regulatory environment as it pertains to a private banking/wealth management business.
- ability to verify aspects of compliance or control arrangements within the business and challenge documentation with an independent mindset
- good influencing skills and stakeholder relationship management skills
- reliable and resilient (challenging situations and conversations don’t sway you)

**About us**
- UBS is the world’s largest and the only truly global wealth manager. We operate through four business divisions: Global Wealth Management, Personal & Corporate Banking, Asset Management and the Investment Bank. Our global reach and the breadth of our expertise set us apart from our competitors..
- We have a presence in all major financial centers in more than 50 countries.

**Join us**
- At UBS, we embrace flexible ways of working when the role permits. We offer different working arrangements like part-time, job-sharing and hybrid (office and home) working. Our purpose-led culture and global infrastructure help us connect, collaborate, and work together in agile ways to meet all our business needs.
- From gaining new experiences in different roles to acquiring fresh knowledge and skills, we know that great work is never done alone. We know that it's our people, with their unique backgrounds, skills, experience levels and interests, who drive our ongoing success. Together we’re more than ourselves. Ready to be part of #teamUBS and make an impact?

**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.

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