Head of Compliance

3 months ago

Sydney, Australia UBS Full time

Australia
- Compliance
- Group Functions

**Job Reference #**
- 280203BR

**City**
- Sydney

**Job Type**
- Full Time

**Your role**
- Do you have experience with all compliance and regulatory matters related to asset management? Are you an experienced asset management compliance professional in Australia?
- We’re looking for a senior compliance professional to;- lead the Australian compliance and operational risk function for the Asset Management Australia business
- build trusted business partnerships and deliver effective independent challenge and risk assessment
- manage interactions and engagement with our regulators
- support business stakeholders on risk identification, mitigation and compliance with all applicable regulatory obligations
- proactively engage in Industry forums and working groups, providing advice and training to the business on regulatory and industry change / developments
- manage the framework in respect of the compliance plan for registered schemes, including reporting to the Responsible Entity Compliance Committee and monitoring of compliance plan controls

**Your Career Comeback**

**Your team**
- You will work in the Compliance and Operational Risk (C&ORC) AM team reporting into the Head C&ORC AM APAC. We provide a wide range of compliance and operational risk oversight and governance support services to Asset Management’s business sectors including retail funds and institutional mandates

**Your expertise**
- strong background and expertise in assessing and managing compliance and operational risks within an asset management business in Australia
- experience in leading and managing engagement and interactions with key regulators (for example, ASIC, AUSTRAC)
- track record of providing confident, clear and concise advice in the context of regulatory obligations in Australia
- excellent communication skills includes drafting (policies, reports, regulatory correspondence)
- ability to develop and deliver training programs and materials
- experience in managing a team, including developing and fostering talent and effective communication skills
- motivated and skilled at driving a proactive solution-orientated process
- reliable, pro-active, determined, self-motivated with a very high level of integrity
- able to manage and drive multiple and complex projects at any given time *#LI-TC1

**About us**
- UBS is the world’s largest and 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.
- With more than 70,000 employees, we have a presence in all major financial centers in more than 50 countries. Do you want to be one of us?

**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 Recruiting Australia

**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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