Head of Compliance and Operational Risk Control - Asset Management
UBS Europe SE, Luxembourg Branch
vor 11 Tg.

Your role In order to strengthen our Compliance team in Luxembourg, we are looking for a Head of Compliance for UBS FML.

In this role, you will be reporting to the Head of Compliance EMEA and be responsible for :

  • Ensure a regulatory watch in this compliance domain, realise gaps' analysis and review policies and procedures taking into account market practices / standards and the operational background
  • Monitoring, identification and clearing of compliance risks related to the business
  • Monitoring and interpretation of regulatory requirements and global standards
  • Definition and implementation of internal policies and procedures
  • Liaising with external partners and legal counsel where appropriate on areas of law concerned
  • Handling of complaints and drafting of related policy and procedures
  • Providing training sessions (e.g.
  • Market Abuse, AML / CTF) and ensuring the full understanding of regulatory framework and internal policies

  • Maintaining and monitoring the company's compliance and regulatory registers
  • Dealing with national and foreign Financial Authorities
  • Advising to business on launch of new products / product development (85% of time spent on this task) in the context of Luxembourg and cross border products (Irish and Italian funds)
  • Managing the team.
  • Your team UBS Fund Management (Luxembourg) S.A.

    UBS FML), part of the UBS Asset Management division (AM), is a UCITS and AIFs management company domiciled in Luxembourg.

    The solutions provided cover a wide range of investment strategies (from plain vanilla to highly sophisticated structures) and fund legal forms for UBS and external funds.

    Your expertise You are highly committed and ideally possess the following skills :

  • University Degree in Law, Finance or a similar subject.
  • Experience of minimum 15 years in either compliance or risk control areas within the fund industry
  • Strong understanding of the fund management regulatory framework including UCITS, AIFs and MIFID II.
  • You furthermore enjoy working in a dynamic team, you possess excellent communication, team-building and organisational skills, and you are flexible for both daily business requirements and with respect to more complex tasks and projects.
  • You are fluent in both written and spoken English.
  • Asset management.

    Retail banking in Switzerland.

    And all the background support.

    That's what we do.

    And we do it for private clients, institutions and 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? 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.

    job reference : 186718BR)

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