India

Compliance

Group Functions
Job Reference #
274167BR
City
Pune
Job Type
Full Time
Your role

• Analyze and take decisions on the Licensing, Registration and Exam requirements of staff in regulated roles as per Singapore licensing regime
• Support the delivery of key processes of Licensing & Registration (L&R) in line with the relevant Standard Operating Procedures. This includes liaising closely with key C&ORC stakeholders, Business and other control functions
• Identify and escalate potential issues to relevant stakeholders in a timely and accurate manner
• Advise Business (Wealth Management, Investment Banking and Asset Management) on licensing matters related to business changes such as new product introduction or new roles.
• Ensure that the team adheres to the controls and review process to reduce operational risk and improve process efficiency
• Keep abreast of latest regulatory developments related to individual licensing and arrange training sessions within the L&R team
• Adhere to queries from Singapore regulators (MAS/ SGX) with regards to fit & properness of licensed staff.
• Perform 4 eye checks on regulatory submissions and provide feedback on any inconsistencies
• Perform effective task allocation within the team and generate monthly management information reports
• Lead the team in Pune and work in coordination with Licensing stake holders in Singapore
• Drive and implement the process improvement projects along with the team

Your team
The Licensing and Registrations Team is part of the Regulatory Management team within the Compliance and Operational Risk Control (C&ORC). You\xe2\x80\x99ll be joining our Licensing and Registrations Team based in Pune. We provide advice, solutions and execution with regards to licensing & registration requirements as per Monetary Authority of Singapore (MAS) and Singapore Exchange (SGX). The function has a cross-divisional remit covering the activities of the Investment Bank, Global Wealth Management, Global Asset Management and Group Functions Businesses.
Your expertise

• A strong experience in handling complex procedures, regulatory process oriented mindset with a strong attention to detail & strong research and report-generating skills
• Preferred with knowledge or experience in Compliance or Audit function
• Proficient in MS Office applications (Excel, Word, PowerPoint)
  

You are:

• Bachelor/ Master\xe2\x80\x99s degree or higher in Finance, Accounting, Law, Business Administration, Risk Management or related disciplines
• Strong interpersonal skills and communication skills with the ability to work collaboratively and with people at all levels of the organization
• A self-starter, flexible, innovative and adaptive to change
• Analytical with the ability to provide practical solutions for minimizing risk

About us
UBS is the world\xe2\x80\x99s 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?
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\xe2\x80\x99re 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.