Operations Regulatory Governance and Oversight

2 weeks ago

London, Greater London, United Kingdom UBS Full time
United Kingdom

  • Operations
  • Global Wealth Management

Job Reference #

BR

City

  • London

Job Type

  • Full Time

Your role

  • We're looking for an Operations Risk and Controls Specialist to:
  • Perform controls that support requirements in respect of the FCA Client Asset Rules (CASS).
  • Undertake Monthly Regulator returns for the FCA Client Money and Asset Reporting (CMAR).
  • Maintain and produce records and output in respect of the firm obligations under the Financial Services Compensation Scheme (FSCS).
  • Collate and distribute data related to reporting obligations under the Payment Services Directive (PSD2).
  • Oversee the exception management and control performance in respect of UK Regulatory Transaction Reporting (RTR).
  • Support Business Line representation at Regulatory Governance forums.

Your team

  • You'll be working in the WM UK Operations Regulatory and Governance Oversight team in London, responsible for performance of controls that support both regulatory record and reporting obligations, and also internal risk management within the Operations environment. We focus on execution of key operational controls and delivering correct and consistent reporting to internal stakeholders and Regulators in line with specific deadlines and quality standards. As a Risk Control Specialist, you'll play an important role in delivering the scope and quality of relevant control and reporting obligations.

Your expertise
- ideally 2 years of experience working in Operations control within the banking industry
- sound knowledge of the FCA Client Asset Rules (CASS)
- good technical skills in MS Excel
- risk aware, conscientious, and able to challenges the status quo
- methodical and accurate working approach, able to meet deadlines ,
- effective communication and organization skills.

  • Investment Administration Qualification may be beneficial

About us

  • UBS is the world's largest and 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.

  • With more than 70,000 employees, we have a presence in all major financial centers in more than 50 countries. Do you want to be one of us?

How we hire

Join us

  • At UBS, we embrace flexible ways of working when the role permits. We offer different working arrangements like parttime, jobsharing and hybrid (office and home) working. Our purposeled 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.

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