Senior Compliance & Operational Risk Control (CORC) Officer–North Asia

Hong Kong SAR

Compliance

Group Functions

Job Reference #

339491BR

City

Hong Kong SAR

Job Type

Full Time

Your role

Are you a senior compliance and operational risk professional with deep expertise in Global Banking? Do you have the ability to operate independently, challenge senior stakeholders, and drive outcomes in a fast-paced environment? Are you comfortable taking full ownership of regulatory risk management and leading critical workflows across Hong Kong?

We are looking for someone who can

• Act as the lead business-aligned Compliance & Operational Risk Control (CORC) officer for the Global Banking (GB) business in North Asia, providing independent oversight and control over non-financial risks.
• Operate with a high degree of autonomy, taking end-to-end ownership of compliance, conduct and operational risk matters, and driving issues through to resolution.
• Provide credible challenge and strategic advisory to senior bankers and stakeholders on regulatory requirements, transaction risks, and emerging issues.
• Lead regulatory incident identification, assessment, escalation and reporting, including coordination of self-reports and engagement with regulators (e.g. SFC, HKMA).
• Provide real-time advice on transactions including IPOs, DCM/ECM and corporate finance activities, ensuring compliance with regulatory requirements and internal policies.
• Represent CORC in governance forums, providing clear risk perspectives and influencing decision-making at senior committees.
• Collaborate closely with business, Legal, COO, Compliance and Operational Risk and global teams on regulatory changes, audits, investigations and training, ensuring high standards of conduct and culture.
• Oversee and ensure timely execution of key compliance workflows and drive continuous improvement in controls, processes and workflows by leveraging data, technology and innovation to enhance effectiveness and efficiency.
• Identify and anticipate emerging risks, proactively advising the business and implementing preventative measures.
• Mentor junior team members and contribute to building a strong, high-performing CORC function in Hong Kong.

Your team

You will be working in the APAC Global Banking Compliance & Operational Risk Control (CORC) team, supporting the North Asia Global Banking franchise. We partner closely with the Global Banking business to manage regulatory risk through collaboration and constructive challenge.

The team works across deal advisory, regulatory engagement, governance and control implementation, and is closely connected with regional and global counterparts.

The role is based in Hong Kong.

Your expertise

• 10+ years of experience in compliance, operational risk or regulatory experience, ideally within Global Banking, Capital Markets or with a financial regulator.
• Strong knowledge of Hong Kong regulatory frameworks (SFC / HKMA) and capital markets products and activities.
• Proven ability to operate independently and manage high-volume, time-sensitive workflows with minimal supervision.
• Experience handling regulatory incidents, investigations, inspections and regulatory engagement.
• Strong stakeholder management and influencing skills, with the ability to challenge senior stakeholders constructively.
• Excellent judgement, problem-solving skills and ability to prioritise effectively in a dynamic environment.
• Experience in driving process improvements, control enhancements and change initiatives.
• Strong communication skills, with the ability to articulate complex regulatory issues clearly and concisely.
• Proactive, resilient and execution-focused, with a strong sense of ownership and accountability.
• You’re curious to explore how AI can improve how we build, deliver, and optimize workflows. You do this with sound judgment – validating outputs and aligning with policies, risk standards, and ethical use.

About us

UBS is a leading and truly global wealth manager and the leading universal bank in Switzerland. We also provide diversified asset management solutions and focused investment banking capabilities. Headquartered in Zurich, Switzerland, UBS is present in more than 50 markets around the globe.

We know that great work is never done alone. That’s why we place collaboration at the heart of everything we do. Because together, we’re more than ourselves. Want to find out more? Visit ubs.com/careers.

How we hire

Preferred Qualifications

• A proactive self-starter mindset with a willingness to leverage and embrace technology solutions to improve controls and analyse data
• Innovative thinking and a proactive approach to problem solving
• AI and technology solutions experience
• Knowledge of Korean, Taiwanese or Japanese financial regulatory frameworks
• Mandarin and/or Korean language skills.

Join us

At UBS, we know that it's our people, with their diverse skills, experiences and backgrounds, who drive our ongoing success. We’re dedicated to our craft and passionate about putting our people first, with new challenges, a supportive team, opportunities to grow and flexible working options when possible. Our inclusive culture brings out the best in our employees, wherever they are on their career journey.

And we use artificial intelligence (AI) to work smarter and more efficiently. We also recognize that great work is never done alone. That’s why collaboration is at the heart of everything we do. Because together, we’re more than ourselves.

We’re committed to disability inclusion and if you need reasonable accommodation/adjustments throughout our recruitment process, you can always contact us.

Contact Details

UBS Business Solutions SA

UBS Recruiting

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.