India

Compliance, Digital, Information Technology (IT), Legal, Operations, Process, project and program management, Quantitative Analysis, Risk

Group Functions

Your role

Are you risk averse? Do you have good interpretation and eye-for-detail skills? We’re looking for someone like that who can:
– act as a compliance and operational risk control subject-matter expert across all business divisions, supporting them in managing risk
– Conduct and document monitoring reviews to assess compliance with and adherence to regulations and internal E&A communication policies;
– make sure risk frameworks are designed well and operating effectively
– deliver independent risk assessment and reports that shed light on our risk profile
– review employee communications, conduct initial analysis and identify suspicious activity as well as escalate cases for further review
– Investigation and closing out the daily alerts thoroughly in a timely manner, and ensuring significant issues identified are fully investigated and promptly escalated where necessary
– support change-the-bank programmes within the employee monitoring space
– help with the design and development of monitoring reports and assist management with testing enhancements to the monitoring program
– continuously improve their knowledge and understanding of the firm's policies and industry regulations

Job Reference #

323718BR

City

Pune

Job Type

Full Time

Your team

You’ll be working in the Communications Surveillance team in Pune for Compliance & Operational Risk Control – Compliance & Investigations department.
We’re responsible for monitoring communications across all division for the following key compliance risks: offline communications, client complaints, market conduct and conflicts of interest etc. We make sure there’s no abuse of sensitive information, that internal policies are followed and that our reputation is protected from legal and regulatory risks.

Your expertise

– a degree from an accredited university
– experience in Surveillance, risk management, risk control, audit or compliance
– a strong understanding of financial services and their various banking divisions
– an understanding of the regulatory environment and expectations
– knowledge of rules and guidance, together with other relevant regulations and codes of practice
– experience in building relationships with stakeholders
– a strong communicator and analytical ability to provide practical solutions for minimizing risk
– result-oriented and assertive (you don’t shy away from challenging situations)
– organized, with the ability to prioritize tasks
– an expert at record-keeping abilities, attention to details and investigation skills

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.

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.