Job Description

India

Compliance, Investment Banking

Group Functions
Job Reference #
263469BR
City
Mumbai
Job Type
Full Time
Your role
Do you have experience in providing compliance or risk advisory services to a business division? Do you enjoy advising and supporting front office colleagues to ensure compliance? Are you confident when it comes to speaking up for what is right and challenging at all levels?

We are looking for a business aligned compliance and operational risk officer to:

• Support the business in remaining compliant within the regulatory environment and managing their risk
• Drive the identification, assessment, measurement, mitigation and monitoring of compliance and operational risk as it pertains to the business
• Participate in reviewing new business initiatives and transactions requiring pre-approval
• Ensure risk frameworks are designed well and operating effectively
• Deliver independent risk assessment and reports that shed light on aligned risk profile
• Review business marketing materials
• Provide business management with controls, tools, training, frameworks, information and insights required for them to manage risk

Your team
The selected candidate will be working in the business aligned Compliance and Operational Risk Control (C&ORC) team in Mumbai. The team supports Equities, Fixed Income, Control Room and Corporate Banking business by partnering with them to effectively manage regulatory risk in an environment of collaboration and constructive challenge. The activities include implementing of Operational Risk Framework and to ensure regulatory and operational risks are identified, properly assessed and recorded. Develop risk mitigating measures, controls and adequate remediation plans. The candidate will also collaborate with global colleagues to ensure that best practices are being shared around the region/globe.
Your expertise

• Candidate ideally with 3-5 years of experience in financial services compliance or risk advisory
• Sound know-how in the analysis of business processes
• Strong written and verbal communication skills to effectively work with teams globally
• Good working knowledge of aligned regulatory environment as it pertains to the business ability to verify aspects of commercial and operational arrangements within the business and challenge documentation with an independent mindset
• Reliable and resilient (Candidate should be able to manage under challenging situations and conversations)
• Working knowledge of Microsoft Office applications (in particularly PowerPoint, Excel - running macros) and/or Tableau would be an added advantage

About us
UBS is the world's largest and only truly global wealth manager. We operate through four business divisions: Global Wealth Management, Personal & Corporate Banking, Asset Management and the Investment Bank. Our global reach and the breadth of our expertise set us apart from our competitors.

With more than 70,000 employees, we have a presence in all major financial centers in more than 50 countries. Do you want to be one of us?
How we hire
This role requires an assessment on application. Learn more about how we hire: www.ubs.com/global/en/careers/experienced-professionals.html
Join us
At UBS, we embrace flexible ways of working when the role permits. We offer different working arrangements like part-time, job-sharing and hybrid (office and home) working. Our purpose-led culture and global infrastructure help us connect, collaborate, and work together in agile ways to meet all our business needs.

From gaining new experiences in different roles to acquiring fresh knowledge and skills, we know that great work is never done alone. We know that it's our people, with their unique backgrounds, skills, experience levels and interests, who drive our ongoing success. Together we're more than ourselves. Ready to be part of #teamUBS and make an impact?
Contact Details
UBS Recruiting India
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.