C&ORC Specialist

2 weeks ago

London, Greater London, United Kingdom ubs Full time
United Kingdom

Compliance

Group Functions

Job Reference #

293388BR

City

London

Job Type

Full Time

Your role

- primary responsibility in conducting monitoring and assurance reviews

- planning, scoping and executing assurance and monitoring reviews in line with Group standards

- preparing Monitoring and testing review reports for key stakeholders to specified standards, including format and style

  • Defining and proposing recommendations as a result of Monitoring and Testing reviews, agreeing corrective actions as well as monitoring and validating their completion
  • Review of employee and trade surveillance and other alert escalations from respective Surveillance or other support teams
Your team


You'll be working in the C&ORG UK Monitoring and Testing Team in London which undertake periodic and targeted monitoring and testing review of CSUK Business to provide assurance that processes and controls are operating as intended.

We are close partners to the business to reinforce the compliance culture.

The team report into the Head of Monitoring and Testing Compliance, who ultimately reports into the Head of Compliance for CSUK.


You will be employed by UBS Business Solutions UK and will work in the Credit Suisse UK AG Wealth Management Compliance team in the course of Credit Suisse integration into UBS.

Diversity helps us grow, together. That's why we are committed to fostering and advancing diversity, equity, and inclusion. It strengthens our business and brings value to our clients.

Your expertise

  • Prior experience of working in Compliance, Audit or Risk department, preferably in monitoring or surveillance disciplines
  • University degree or equivalent educated
  • Understanding of key risks and regulatory developments as applicable to private banking/ wealth management business
  • Strong MS Excel skills, ability to analyse large sets of data
  • Excellent written and oral communication skills and ability to deal with Senior management
  • Ability to work independently and manage conflicting priorities
  • Understanding the value of diversity in the workplace and is dedicated to fostering an inclusive culture in all aspects of working life so that people from all backgrounds receive equal treatment, realize their full potential and can bring their full, authentic selves to work
#LI-Hybrid

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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