【UBS】Regulatory Compliance Officer
仕事内容
Your role
Are you an expert when it comes to performing second-line-of-defense activities?
We are looking for a Central Compliance officer who can play a key role in Regulatory Management area covering the following matters:
• regulatory reporting (Report Producer Delegate, RRF coordinator)
• onsite/Offsite inspection & remediation, inquiries, surveys
• regulatory notifications and filings
• regulator communication
• handling Regulatory Development Tracking (RDT) tool
• C&ORC owned internal policies and procedures reviews and updates
• working in partnership with the Entity Management, Group Functions as well as Business stakeholders in the 1st Line of Defense
This role is possible for hybrid work after probation period.
応募資格(必須経験など)
Your expertise
You have:
• a graduate degree with ideally over 5 years of experience at Banks and/or Securities firms
• knowledge for the relevant Banking and/or Securities business and regulations (JSDA Internal Control Manager qualification is required)
• native level Japanese (with good verbal and written communication skills for responding to the regulators) and business level English
• confidence to challenge/question and demonstrate strong risk awareness and culture
• integrity and collaborative approach to work in the team and achieve goals
• Microsoft Excel, Word, PowerPoint skill
You are:
• a strong and effective communicator
• a responsible and reliable person to internal and external stakeholders
• a strong team player who is willing to cooperate and take new challenges
• quickly adaptable to changing environments