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Legal & Compliance

Group Compliance Officer - Oversight

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Full time
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Genève

As part of the Group Compliance team, your role will involve contributing to the consolidated supervision of the Group. This includes defining, developing, and adapting the groupwide compliance framework, internal control system, and compliance technology solutions. You will be responsible for overseeing the implementation of these frameworks by Group entities and ensuring coherence and alignment with the groupwide compliance framework.

Your role:

 

  • Develop and enhance the groupwide compliance framework to align with evolving regulatory requirements, market practices and the Group's strategic direction.
  • Ensure effective implementation of the groupwide compliance framework across all Group entities, covering areas such as governance, financial crime, market access, market integrity, investor protection and personal conduct.
  • Oversee the implementation and maintenance of an internal control system to manage compliance risks across the Group, including the development of a robust second-line control testing framework and the utilization of compliance technology solutions.
  • Conduct regular and targeted oversight visits and thematic reviews of Group entities to assess compliance with regulatory standards and internal policies.
  • Prepare and submit periodic and consolidated supervision reports to Group governing bodies and regulatory authorities, including FINMA, to ensure compliance with regulatory requirements and provide an accurate assessment of regulatory compliance risks.
  • Advise and support Group entities on various compliance-related matters, including the implementation and monitoring of the compliance framework, conducting compliance risk assessments, addressing regulators, external and internal auditor requests and findings, and managing compliance incidents.
  • Take part in Group Compliance projects, ensuring successful delivery and collaboration with cross-functional teams and relevant stakeholders across the Group.
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Operations

SENIOR INTERNAL AUDITOR

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Genève

A day in your future job:
• Undertake risk-based internal audit reviews, projects and special investigatory assignments as directed (including prioritisation and time management) and communicate the results including actions that have been agreed to address areas of improvement.
• During audits, ensure that the internal control system remains relevant to new standards/regulations, changes to processes from system implementations or business model transformation.
• Contribute to the creation of the internal audit plan.
• Assist in the maintenance of a culture of accountability and integrity, personally
adhering to high ethical standards.
• Facilitate the integration of risk management culture into day-to-day business
activities and processes etc.

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Private Banker Assistant

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Full time
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Genève

Your role

Support Senior banker in the administration and management of UHNWI’s client book on a daily basis.
Contribute to maintaining and improving a very high quality service in a challenging UHNWI environment (i.e. multi-jurisdiction, complex structure, sophisticated investments, demanding clients).
Thanks to strong skill sets, prepare and support the production of frequent tailored/ detailed clients’ presentations and reporting.
Collaborate with bankers assistants in our admin. remediation - ensuring compliance with all our internal operational duties.
Team-up regularly and efficiently across all our organization mainly our investment solution, risk management, operations, wealth planning, compliance, and legal teams. Develop a high level of competency on bank offerings.
Ensure that the quality of information delivered to clients meets high standards (meeting restitutions, information input into CRM, etc.).

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Legal & Compliance

Tax Operation Specialist

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Full time
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Zurich

Responsibilities

Client Tax Reporting

  • Assisting in the production of country specific Client Tax Reports
  • Monitoring and implementing new tax rules
  • 1st level support for inquiries from client advisors
  • Collaboration in projects on tax-related topics and technical implementation of existing or new processes

Tax Reclaim Service

  • Preparing and transmitting of data files to the outsourcing provider
  • Monitoring of tax reclaim requests with the outsourcing provider
  • Ensuring the reimbursement chain to the clients
  • 1st level support for inquiries from client advisors
  • Assisting in the continuous improvement and further development of the entire tax reclaim process to ensure highest quality

Operational & Regulatory Taxes

  • Reconciliation and preparation as well as monitoring and delivery of Swiss stamp taxes (Form 9) and Supplementary withholding taxes (Form 182)
  • Monitoring and invoicing of Swiss stamp taxes for Ex-Custody clients
  • Monitoring and updating the withholding tax rates according to the Double taxation treaty (DTT) for Swiss and Foreign clients
  • Supporting function in further regulatory tax reporting topics such as:
    - U.S. Qualified Intermediary
    - U.S. FATCA
    - Automatic Exchange of Information (CRS Reporting)
  • Identifying new opportunities for process improvements and improve the efficiency and control environment

Regulatory Transaction Reporting

  • Monitoring and handling of FinfraG, MiFIR and EMIR Transaction Reporting
  • Recognizing and solving issues
  • Contact person for institutional clients and requests
  • Ensure compliance with all regulatory and transactional tax reporting obligations
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Conseiller clientèle privée Retail

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Full time, Part time
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Affoltern am Albis

Vous appréciez le contact, vous connaissez les bases de l'activité bancaire et vous souhaitez vous développer dans le conseil ou dans d'autres domaines du secteur ? Nous sommes à la recherche d'un conseiller clientèle privée. Vos tâches principales :

• Au bureau, vous représentez UBS, accueillez chaleureusement les clients et assumez le rôle d'hôte.
• Vous conseillez les clients sur les thèmes de la prévoyance et de l'établissement et développez votre expertise dans ces domaines.
• Et enfin, vous enthousiasmez les clients pour le monde numérique et les aidez à utiliser l'e-banking, la banque mobile ou TWINT

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IT

Developer – Risk IT Function

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Full time
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Genève

We are seeking a highly skilled and motivated Developer to join our Risk IT function. This role will play a crucial part in developing and maintaining our risk management systems and infrastructure, primarily hosted on the cloud. The ideal candidate will possess a strong understanding of financial products, risk management data sets, and practical experience with cloud services and most recent big data related technologies.

Key Responsibilities

  • Build and maintain risk management applications and tools on cloud infrastructure.
  • Implement and optimise models for evaluating financial products and their associated risks (Greeks, P&L, VaR, stress tests, scenarios, etc.).
  • Enhance data quality and ensure the integrity of market risk, credit risk, and liquidity risk datasets.
  • Develop high-quality code in Python, R, and C++/Java to support various risk management functions.
  • Collaborate effectively with risk management teams, traders, and front office IT teams to understand their needs and deliver robust solutions.
  • Take ownership of the data quality delivered, ensuring accuracy and reliability in all risk management processes.
  • Utilize Jira, Kanban, Scrum, and other agile methodologies to organize and manage delivery processes within the team.
  • Stay updated with the latest developments in cloud services and financial risk management practices.
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