Job Description

India
Compliance
Group Functions

Job Reference #

312285BR

City

Pune

Job Type

Full Time

Your role

Do you have good judgment? Are you a strong communicator? We're looking for talented people to join our Compliance & Operational Risk Control US Licensing and Registration team:



Front-to-back management of the Associated Persons population for the CFTC Swap Dealer and SEC Security-Based Swap Dealer regimes, including.interacting with the business to determine whether AP population is accurate. Manage the CFTC and SEC Principal vetting and registration processes. Update CFTC and SEC Registration Documents as required. Drive or contribute to the resolution of strategic and tactical challenges pertaining to Associated Persons, in collaboration with stakeholders such as the Swap Dealer Regulatory Governance / compliance team, including case management and new logic. Enable a sustainable and effective to maintain an accurate, complete and compliant Associated Person population globally, across the AMER, EMEA and APAC regions. Manage the Swap Execution Facility ("SEF") authorized trader lists in collaboration with the COO functions. Assist with managing and carrying out Swap/NFA registration related projects. Assist with developing control metrics to ensure compliance with key regulatory requirements.

Your team

The Licensing & Registration team sits within the Governance Compliance Regulatory Group (GCRG) which aims to build trust, help safeguard our business, and support controlled growth and strive for new ways to proactively identify and control existing and emerging risks in a rapidly changing and increasingly digital world. Our team helps accomplishes this by providing independent oversight, challenge and control over the non-financial risks arising from UBS's business activities across multiple levels to ensure compliance, conduct and operational risks are understood, owned, and managed to the Firm's risk appetite. We provide L&R advice and process registrations for the CFTC Swap Dealer, SEC Security-Based Swap Dealer regimes and NFA regulated entities. The function has a cross-divisional remit covering the Swap Dealer activities of the Investment Bank, Global Wealth Management and Group Functions Businesses. We support UBS business areas within the Americas region, which includes five FINRA Broker Dealers, NFA Regulated entities, including SWAP registration, as well as Insurance and Mortgage licensing.

Your expertise

A few years' experience in compliance, legal, risk control or audit Strong communicator and able to work meet deadlines under pressure. Highly organized and results orientated. Demonstrate strong interpersonal. Possesses sound judgment, curiosity, and can adapt to a changing regulatory landscape. Team-orientated while able to complete tasks independently. Process oriented mindset with a strong attention to detail.

About us

UBS is the world's largest and the 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..



We have a presence in all major financial centers in more than 50 countries.

How we hire

We may request you to complete one or more assessments during the application process. Learn more

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 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.