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Industrial Placement 2022, Group Compliance Regulatory & Governance, Hong Kong

Your role

[Monitoring, Surveillance and Controls (MS&C)]

Do you like to err on the side of safety? Do you want to help us protect our reputation, financial health and long-term interests by helping us identify, measure and control risks? You'll:

  • execute routine periodic controls in line with global and local control frameworks, including regional regulatory requirements where applicable
  • analyze and assess risks arising from both the business and support functions
  • identify and evaluate the design, implementation and effectiveness of controls designed to address those risks
  • document and communicate review findings, root causes and risks
  • develop recommendations for items that solution owners should consider when finalizing their action plans
  • successfully collaborate with peers in and across Monitoring, Surveillance and Control teams

[Group Shareholding Reporting (GSR)]

Do you have an interest in analyzing and monitoring the global shareholdings of UBS? Do you have a proactive and detail-oriented workstyle? As part of the Group Shareholding Reporting (GSR) you will have the opportunity to:

  • discharge the global obligations of UBS towards reporting of aggregated shareholdings in accordance with regulatory and legal requirements in relevant jurisdictions and across all Business Divisions
  • liaise effectively with UBS staff outside the team, such as Equity traders, Capital Markets teams, Operations, in-house Legal and IT specialists, all while working closely with GSR colleagues in EMEA, Americas and APAC on a day-to-day basis
  • build and maintain good relationships with Regulators, Exchanges, Issuers of Securities and other stakeholders

Your team

[Monitoring, Surveillance and Controls (MS&C)]

You will be working in Monitoring, Surveillance and Controls (MS&C) in Hong Kong / Singapore. MS&C is an independent function within the 2nd line of defense, that supports Group Compliance, Regulatory and Governance (GCRG) in achieving its strategic, operational, financial and compliance objectives. MS&C monitors business activities in relation to compliance with all applicable laws, regulations and policies including Cross-border activities, Investment Suitability, Know Your Customer (KYC), Conflicts of Interest, amongst others. MS&C also works in close cooperation with other GCRG teams such as Financial Crime Prevention, Business Aligned Compliance etc.

[Group Shareholding Reporting (GSR)]

You’ll be a member of the APAC hub of the GSR Team, sitting within Group Compliance, Regulatory and Governance and located in Hong Kong. We are an international team responsible for analyzing global equity holdings in issuers regulated in the APAC region, monitoring holdings in sensitive industries and where appropriate, reporting holdings to the relevant regulators. Furthermore, we provide guidance to all business divisions on the impact of trading with respect to major shareholding reporting.

Your expertise

You need to be graduating by Dec 2023 to Jun 2024, and with less than two years of work experience. It doesn’t matter what you’re studying. (Really, it doesn’t.) But we’d like to see evidence that you can:

  • analyze a problem, take a view and come to a decision
  • plan, organize and communicate well
  • make things happen
  • stick with a task
  • work independently as well as in a team
  • an autonomous, diligent and detail-oriented work style
  • speak and write fluently in English, Mandarin.

The following skills would certainly be an added advantage:

  • familiarity with data analytics or business intelligence tools (e.g. Power BI, Alteryx)
  • fluency in Japanese and Cantonese.

Perhaps you’ve organized a fundraising event or taken part in team sports? Or persevered and passed an exam in a subject you found challenging? Think about how things you’ve achieved match the skills we’re after.

Your Program

On this 12-month industrial placement, you’ll get to join one of our teams in Group Compliance Regulatory & Governance. You’ll still be working toward your university degree course while getting the opportunity to be a real part of the team, working with our experts and learning about the industry, our clients, our firm and a specific area of it. You’ll have plenty of opportunities to develop new skills and make contacts. And if you impress us, your placement may result into a career-track graduate position.

You may only apply for one program in one country within Asia Pacific during the same academic year.

About us

Expert advice. Wealth management. Investment banking. Asset management. Retail banking in Switzerland. And all the support functions. That's what we do. And we do it for private and institutional clients as well as corporations around the world.

We are about 70,000 employees in all major financial centers, in almost 900 offices and more than 50 countries. Do you want to be one of us?

Join us

We're a truly global, collaborative and friendly group of people. Having a diverse, inclusive and respectful workplace is important to us. And we support your career development, internal mobility and work-life balance. If this sounds interesting, apply now.

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.

Closed 2 months ago
Closed 2 months ago
  • Job type:Internships
  • Disciplines:

    All Disciplines

  • Work rights:

    Hong Kong Permanent Resident, Hong

  • Locations:

    Hong Kong

  • Closing Date:30th Nov 2021, 3:59 pm


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