India

Compliance

Group Functions

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 ?

In this role, you will:

• Support the business in remaining compliant within the regulatory environment and managing their risk
• Ensure all regulatory filings and submission are made within timelines
• Handle and drive periodic audits and collate requisite information from stakeholders
• Drive the identification, assessment, measurement, mitigation and monitoring of compliance and operational risk as it pertains to the business
• Ensure risk framework are designed well and operating effectively
• Review business marketing materials
• Provide business management with controls, tools, training, frameworks, information and insights required for them to manage risk
• Manage and liaise day-to-day with other Group Compliance Regulatory and Governance (GCRG) staff and respective policy owners regarding employee conflicts of interest (COI) queries and requests (including but not limited licensing, personal account dealing, external directorship, etc.) received from business stakeholders
• Establish, maintain and review policies, procedures and controls designed to comply with laws, rules, regulations, and industry standards.
• Provide subject-matter expertise (SME) and advisory services to Global Banking, Research and Global Markets teams, advising on regulatory developments and emerging risks.
• Contribute to new business proposals, transactions requiring pre-approval and project work, ensuring compliance risk frameworks are well-designed and operating effectively.

Job Reference #

323923BR

City

Mumbai

Job Type

Full Time

Your team

We are seeking a dynamic and experienced professional to join our team as India IB C&ORC Business Aligned Specialist based in BKC, Mumbai reporting to Head of India C&ORC IB.

Your expertise

You have a combination of the following:

- A bachelor’s degree in accounting, law or finance-related areas. An advanced degree or professional qualifications are a plus.
- A minimum of 5+ years of experience in working for an Investment Bank. Experience in Global Banking, Research, or Global Markets, or C&ORC is a plus.
- Good knowledge and understanding both products, services and of issues / challenges facing an investment banking business particularly Stock Broking, Merchant Banking and Research Analyst
- Experience pertaining to SEBI norms in relation to Stock Broking, Research Analyst, Merchant Banking license and PMLA is a plus
- good knowledge of APAC-specific regulatory requirements and industry standards, with an understanding of a broad range of investment banking business activities and key compliance and operational risks.
- Familiarity with GCRG policies, systems and procedures.
- Excellent verbal and written communication skills with knowledge and proficiency in the use of systems and technology
- Creative approach to problem solving and challenging existing processes to drive improvements

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 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. 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.

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.