Your role Are you risk averse? Do you know how to maintain independence and objectivity? We are looking for someone like that who can:
Support Equity business (equity brokerage, research, derivatives) compliance matters on a daily basis (including compliance advice, review, monitoring, investigation and etc.)
Provide compliance support to Equity business on innovations and new business/product including equity swap, margin trading and securities lending, future index and etc. including keeping track on legal and regulatory development, review of innovative product plans, attending internal and external discussion
Review and improve Equity business related compliance policies, business procedures and control process
Provide compliance support in other non-business areas, including governance, internal control, human resources and etc
Provide compliance training to Business
Keep good communication channels with regulators and exchanges and assist business in regulatory communications/interactions
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 will be working in UBSS Shanghai with our compliance department. We provide compliance support to UBS Businesses and the team you will work in will be mainly cover Equities business.
Your experience and skills You have:
Minimum 7 years first tier legal firms working experience (focus on capital market or financial industry)，legal，compliance or relevant working experience in first tier securities firms or other financial institutions or equivalent regulatory working experience
Holding Chinese lawyer qualification or passed Judicial Qualification Exam
Graduated from domestic or overseas first tier law school You Are:
analytic, with the ability to provide practical solutions for minimizing risk
result-oriented and assertive (you don't shy away from challenging situations)
fluent in English
What we offer Together. That's how we do things. We offer talented people around the world a supportive, stimulating and diverse working environment. We'll 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.