Communications Surveillance Analyst

As a C&ORC analyst at UBS, your role involves serving as a subject-matter expert in compliance and operational risk control across all business divisions. You will be responsible for conducting and documenting monitoring reviews to assess compliance with regulations and internal electronic and audio communication policies. Your independent risk assessments and reports will provide valuable insights into our risk profile. Additionally, you will review employee communications, analyze suspicious activity, and escalate cases for further review. It is crucial to investigate and resolve daily alerts promptly, ensuring that significant issues are thoroughly examined and escalated when necessary. Supporting the change-the-bank program within the employee monitoring space is also part of your responsibilities. Continuous improvement of your knowledge regarding the firm's policies and industry regulations is expected. In collaboration with the APAC Communications Monitoring and Surveillance team in Pune, India, you will work towards independently identifying, assessing, mitigating, and managing compliance risk across divisions. The team focuses on key compliance risks such as suitability, anti-bribery, know your customer, market conduct, cross border, and conflicts of interest. Upholding internal policies, preventing abuse of sensitive information, and safeguarding the firm's reputation from legal and regulatory risks are essential objectives. To excel in this role, previous experience in Surveillance, risk management, audit, compliance, or a banking/financial institution background is preferred. A strong understanding of financial services, regulatory environments, and relevant regulations is necessary. You should possess excellent communication skills and analytical abilities to offer practical risk-minimizing solutions. Being result-oriented, assertive, organized, and detail-oriented with strong investigative skills are key attributes for success. UBS is a global wealth manager with a presence in over 50 countries and operates through four business divisions. As part of our team, you will have the opportunity to work in a purpose-led culture that values flexibility and collaboration. We offer various working arrangements to support a diverse workforce and encourage continuous personal and professional growth. Join #teamUBS to contribute to our success and make a positive impact in a globally renowned organization.,