Risk & Regulatory Execution Specialist

29 Aug 2017
04 Sep 2017
Contract Type


Job Type
Full Time

Your role
Are you an experienced practitioner in managing AML / CFT risks? Have you done meaningful work in Client Due Diligence (CDD) for Private Clients; either as a compliance professional or a specialist in private clients client onboarding or ongoing CDD maintenance in a bank? Do you have experience in leading a team in performing some of these roles?

We're looking for an accomplished individual like that who can:

- stay abreast of new KYC developments and implement new processes in the Periodic KYC Review (PKR) processes e.g. MAS626 Notice, HK AMLO
- perform and manage the bank's Periodic KYC Review (PKR) activities, e.g. perform names & news screening and assessment, review KYC relevant documents & information for completeness, review client profile write-ups & transactions for plausibility, interact & manage Client Advisors throughout the PKR process, and ensure proper escalation & remediation actions for any findings & issues
- manage an efficient and aligned PKR process support for the Markets to achieve efficiency & scale
- the focus is on the assurance of completeness, quality and consistency in Client Due Diligent (CDD) standards in accordance to the prevailing internal policies & regulatory requirements; and within stipulated timeframe across Hong Kong & Singapore
- lead a team of 3-4 specialists in performing this function

About us
Expert advice. Wealth management. Investment banking. Asset management. Retail banking in Switzerland. And all the support functions. That's what we do. And we do it for private and institutional clients as well as corporations around the world.

We are about 60,000 employees in all major financial centers, in almost 900 offices and more than 50 countries. Do you want to be one of us?

Your team
You'll be in the Risk & Regulatory Execution team in the Wealth Management COO office based in Singapore. We are part of the team that provides market support activities to the Client Advisors.

Your experience and skills
You have:
- a university degree, ideally
- 5 years of experience in a wealth management environment with detailed exposure to KYC, Compliance, Client Documentation and Account Opening requirements
- a risk oriented personality that can balance business needs with risks and controls
- a solid working understanding of Excel & PowerPoint, knowledge of Excel Macro/ Visual Basics will be a plus

What we offer
Together. That's how we do things. We offer people around the world a supportive, challenging and diverse working environment. We value your passion and commitment, and reward your performance.

Take the next step
Are you truly collaborative? Succeeding at UBS means respecting, understanding and trusting colleagues and clients. Challenging others and being challenged in return. Being passionate about what you do. Driving yourself forward, always wanting to do things the right way. Does that sound like you? Then you have the right stuff to join us. Apply now.