Compliance Officer

Job Reference #
298332BR

Job Type
Full Time

Your role
Do you enjoy supporting business colleagues to ensure robust compliance on day-to-day as well as complex topics? Are you confident when it comes to speaking up for what is right and challenging at all levels?

We are looking for a Compliance Officer like you to:

* ensure UBS FMI activities are conducted in compliance with applicable local laws and regulations
* identify the compliance and operational risks linked to the activities of UBS FMI, including those linked to new businesses/activities and participate in the enhancement of the compliance monitoring plan
* perform controls and monitoring on the activities performed by UBS FMI, and preparing reporting of exceptions and related recommendations to management and our Board of Directors
* follow up on recommendations issued by compliance, internal and external audits
* oversee service providers in relation to Anti-Money Laundering (AML) activities
* act as our escalation point and conducting AML related investigations
* maintain up-to-date compliance records including communications with regulators and authorities, conflicts of interest registers and our gifts and entertainment register
* undertake Fitness and Probity related activities
* assist in the preparation of periodic and annual compliance reports to Boards of Directors, management and regulators/authorities
* manage the review and enhancement of policies and procedures to ensure compliance with applicable laws and regulations, as well as with Group directives and standards
* support the design and facilitation of compliance trainings
* act as advisor for management and staff on compliance related matters
* interpret regulatory requirements / developments and participating in regulatory initiatives as our key Compliance stakeholder

Your team
You’ll be working within our UBS FMI business-aligned Compliance and Operational Risk Control (C&ORC) team in Ireland. Your role will be a CBI Controlled Function and you'll partner with our management company to effectively manage regulatory risk in an environment of collaboration and constructive challenge. Our duties include implementing the Compliance and Operational Risk Framework and to ensure regulatory compliance and operational risks are identified, properly assessed and recorded. You'll play an important role in helping us develop risk mitigating measures, controls and adequate remediation plans are in place. You'll also collaborate with global colleagues to ensure that best practices are being shared around the region/globe.

UBS Fund Management (Ireland) Limited (UBS FMI), part of the UBS Asset Management (AM) division, is a UCITS Management Company and AIFM domiciled in Ireland. The solutions provided cover a wide range of investment strategies (from plain vanilla to highly sophisticated structures) and fund legal forms for UBS and third party funds.

Your expertise

* a University Degree in Economics, Finance, Law or a similar subject required, additional professional qualification is desirable e.g IOB Compliance Certificate or LCI
* at least 7-10 years relevant compliance and investment funds experience, with strong knowledge of the Irish investment fund regulatory framework, including UCITS, AIFMD and CBI Fund Management Company Guidance (CP86) regulations required; knowledge of additional regulations such as EMIR, MIFID II would be desirable
* excellent knowledge of investment fund topics (fund administration, transfer agents, portfolio management, distribution, custodian banks)
* solid knowledge of Irish AML/KYC regulatory framework
* experience in a Management Company/AIFM or Advisory Firm is an advantage
* excellent communication, team-building and organisational skills
* fluent in both written and spoken English

About Us
UBS is the world’s largest and the only truly global wealth manager. We operate through four business divisions: Global Wealth Management, Personal & Corporate Banking, Asset Management and the Investment Bank. Our global reach and the breadth of our expertise set us apart from our competitors..

We have a presence in all major financial centers in more than 50 countries.

Join us
At UBS, we embrace flexible ways of working when the role permits. We offer different working arrangements like part-time, job-sharing and hybrid (office and home) working. Our purpose-led culture and global infrastructure help us connect, collaborate, and work together in agile ways to meet all our business needs.

From gaining new experiences in different roles to acquiring fresh knowledge and skills, we know that great work is never done alone. We know that it's our people, with their unique backgrounds, skills, experience levels and interests, who drive our ongoing success. Together we’re more than ourselves. Ready to be part of #teamUBS and make an impact?

Disclaimer / Policy Statements
UBS is an Equal Opportunity Employer. We respect and seek to empower each individual and support the diverse cultures, perspectives, skills and experiences within our workforce.