Head of Ib Compliance and Operational Risk, Thailand

2 months ago

กรงเทพมหานคร, Thailand UBS Full time

Thailand
- Compliance
- Group Functions

**Job Reference #**
- 292616BR

**City**
- Bangkok

**Job Type**
- Full Time

**Your role**
- Do you have experience in providing compliance or risk advisory services to a business division? Do you enjoy advising and supporting front office colleagues to ensure compliance? Are you confident when it comes to speaking up for what is right and challenging at all levels?
- We are looking for a Head of IB compliance and operational risk, Thailand to:
- ensure relevant compliance and operational risk frameworks, taxonomies, applicable laws and regulations and best practice standards are actively and appropriately managed and complied with by the Thailand Global Markets and Global Banking businesses.
- work with the broader South Asia and APAC Global Markets C&ORC team to provide the Thailand Global Markets and Global Banking businesses with controls, tools, training, frameworks, information and insight required to perform their risk management and supervisory responsibilities.
- proactively drive the identification, assessment, measurement, mitigation and monitoring of compliance and operational risk as it pertains to the Thailand Global Markets and Global Banking businesses
- deliver independent risk assessment and reports that shed light on our risk profile
- review business marketing materials
- ensure adherence to regulations, guidelines and policies issued by the relevant financial regulators, exchanges, clearing houses as well as regulatory developments in other jurisdictions across APAC as well as globally relevant regulations that impact the Global Markets and Global Banking businesses
- help disseminate relevant rules, procedures and controls and developing and delivering compliance and operational risk training programs.
- participate in reviewing new business initiatives and transactions requiring pre-approval
- close liaison with counterparts in the other APAC hubs and offices
- support the business in remaining compliant within the regulatory environment and managing their risk
- ensure risk frameworks are designed well and operating effectively

**Your team**
- You will be the Country Lead for Business-Aligned Compliance and Operational Risk Control (C&ORC) in Thailand, which is part of the broader ASEAN C&ORC team. We support the IB business by partnering with them to effectively manage regulatory risk in an environment of collaboration and constructive challenge. Our duties include implementing the Operational Risk Framework and to ensure regulatory 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.

**Your expertise**
- proven financial services compliance or risk advisory experience for ideally 7-10 years
- sound know-how in the analysis of business processes in IB
- good working knowledge of the local regulatory environment as it pertains to that of a broker dealer
- sound know-how in the analysis of business processes and a strong understanding of equities products
- ability to verify aspects of commercial and operational arrangements within the business and challenge documentation with an independent mindset
- reliable, resilient and able to work on your own
- fluent in written and spoken English besides Thai (additional languages are a plus of course)

**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?

**Contact Details**
- UBS Business Solutions SA
- UBS Recruiting

**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.

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