Compliance Associate
Description
Union Bancaire Privée (UBP) was founded in 1969 by Edgar de Picciotto, whose vision from the outset was to offer investors an astute and innovative wealth management service. With assets under management of CHF 147.4 billion as at the end of 2020 and a professional, global workforce of around 1,800 people, UBP is a major player in Switzerland’s wealth-management industry. Headquartered in Geneva, the Bank has over twenty locations in key economic and financial hubs worldwide, enabling it to combine global expertise with local know-how.
Mission
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Challenges
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Main responsibilities
Compliance Monitoring:
Manage the Compliance monitoring plan, testing, report and track
findings to ensure that business operations meet their regulatory and
internal process obligations.
Ensure and test the ongoing robustness of compliance with the rules that
govern the Jersey Branch
• Comprehensive testing program that covers the compliance risks
various departments face, along with the mitigating steps in
place to address them
• Ensure that the CMP is proportionate to the size, complexity and
nature of the business, and the nature and number of risks it
faces
Present CMP test results and conclusions to the Management Committee
including any points that need to be resolved
Log and monitor any action points from the CMP testing to ensure they
are followed up and resolved
Register management & maintenance:
Manage, maintain, update & enhance compliance registers including:
• Personal Account Dealing
• Complaints that require escalation to the regulator
• Gifts & Entertainment
• Compliance breaches
• Exceptions
• Conflicts of Interest
• Staff declarations
This will include liaising with staff, senior management, and Group to
ensure we have the correct information and that the relevant information
is presented to the Management Committee
Sanctions management & monitoring and changes to country status:
Ensure any sanction listed parties are screened and review output
• Collate information regarding clients and connected parties with
countries that have become higher risk through sanctions, or
because they have moved to the grey list to analyse the risk exposure to the Branch. Present this to the Head of Compliance, Branch Manager and Management Committee.
• Collate & analyse information that would be required for regulatory returns
Policies and procedures:
Map relevant legislation/codes of practise to policies & procedures
• Support delivery of policy & procedure enhancements
Compliance advisory support
Support the business regarding questions relating to the licenced business activities
• Support the business through the provision of training on certain regulatory topics
Other duties & responsibilities:
Support the other members of the compliance team including the CO, MLCO and MLRO
• Ongoing development
Education
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Education:
Bachelor Degree
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Technical skills:
Good numerical skills
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IT Tools:
PC literate (MS Word, Excel and Access)
Experience
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Years of experience:
3-7 : intermediate
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Experience required:
Good knowledge of Jersey regulations and regulatory environment
Experience within financial markets
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Experience in private banking:
N/A
Language
Personal skills
Good organisation skills, and high level of attention to detail
Precise and logical approach to tasks
Good analytical skills
Ability to work independently and on occasion under pressure to analyse information, research possible options and provide logical recommendations
Good oral and written communication skills
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