Head Compliance Asset Management
Description
Union Bancaire Privée (UBP) is one of the largest family-owned private banks in the world. But what makes UBP really unique is its corporate culture, which combines modernity and tradition. Although UBP was founded in 1969, its origins can be traced back to the 17th century and the start of a long line of financiers and diplomats of whom Edgar de Picciotto and his descendants are the successors. Today, the Bank's staff draw their inspiration and drive from the founding family's subtle blend of strong moral values and pragmatism, which to this day remain the key to UBP’s success.
Mission
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Assist Asset Management (AM) teams in their activities and ensure that they meet applicable laws and regulations, internal standards and policies at Group level.
Challenges
Identify, analyse and monitor regulatory risks for all local and foreign entities involved in Asset Management activities.
Main responsibilities
Manage the AM compliance team to deliver high standards of advice, guidance and surveillance in relation to the Bank’s AM actvities;
Coordinate activities with compliance teams abroad in particular oversee licencing requirements for foreign entities conducting AM activities and including Management Companies;
Analyse, assess and develop tools to monitor activities in the above areas;
Take part in discussions with the supervisory authorities and regulators;
Deliver the monitoring activity plan as agreed with the Group Head of Compliance;
Prepare the reports required by the Group Head of Risk and Compliance;
Update of compliance manuals, AM management functional controls and key operating procedures and policies;
Participate in different workshops, committees and transversal projects;
Organise employees training on new compliance rules and provisions;
Education
- Education: Master Degree
- Certification: • University degree in Economics, Law or equivalent, CM certificate;
Experience
- Years of experience: +10 : senior
- Experience required: A minimum of 10-years' experience in financial services industry as Risk/Compliance Officer of which at least 3 years in a similar function; • Proven regulatory skills with extensive experience in asset management to support the Business' strategic development in European and Asian markets;
- Experience in private banking: Mandatory
Language
- English: Fluent
- French: Fluent
Personal skills
- Swiss resident: Mandatory
Analytical and diplomatic individual Pragmatic and solution oriented; Management and leadership experience; Very good oral and written communication skills;
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