Investment Suitability Compliance Expert

2 days ago

Sydney, New South Wales, Australia beBeeCompliance Full time $180,000 - $210,000
Compliance Specialist – Investment Suitability

Assess and improve business-critical processes and controls to safeguard and strengthen our organization.

Join a team of experts who drive compliance, regulatory, and governance objectives. We are an independent function within the 2nd line of defense, supporting key business divisions in the APAC region.

Your Role

As a Compliance Specialist, you will review and test investment suitability and cross-border controls, analyzing and assessing risks arising from both business and support functions. You will identify and evaluate control design, implementation, and effectiveness, documenting findings and preparing reports for senior management.

  • Drive or work as a team member on reviews and testing of UBS Global Wealth Management division controls.
  • Analyze and assess risks, identifying root causes and communicating review findings.
  • Develop recommendations for action plans and review remediation actions submitted by the business.

You will collaborate with peers in Group Compliance, Regulatory, and Governance (GCRG), developing and maintaining relationships with stakeholders and senior management.

Our Team

Work in GWM Monitoring & Surveillance (M&S) based in Sydney, a talent powerhouse that attracts and develops top performers. Our team is responsible for reviewing compliance controls specific to investment suitability and cross border. In your role, you will cover reviews related to the GWM division.

Requirements

3-4 years experience in external or internal audit or compliance controls testing within the financial industry. Strong analytical skills and quantitative approach to problem-solving. Ability to understand complex processes and challenge the status quo, identify risks and inadequacies in procedures.

  • Strong analytical skills and quantitative approach to problem solving.
  • Ability to quickly understand complex processes and challenge the status quo.
  • Willingness to keep up with industry, regulatory developments, and learn new concepts and methods.
  • Effective communication with senior stakeholders.
  • Risk-focused and capable of using data analytics to gain insights into business trends and identify outliers.
About Us

At our organization, we operate through four business divisions: Global Wealth Management, Personal & Corporate Banking, Asset Management, and the Investment Bank. We have a presence in all major financial centers in more than 50 countries.

How We Hire

We may request you to complete one or more assessments during the application process. Collaboration is at the heart of everything we do.

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