Communications Surveillance Specialist

As a C&ORC Specialist at UBS, your role involves serving as a compliance and operational risk control subject-matter expert across all business divisions. You will be responsible for conducting and documenting monitoring reviews to evaluate 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 fully addressed and escalated when necessary. Furthermore, you will support the change-the-bank program within the employee monitoring space and strive to enhance your knowledge of the firm's policies and industry regulations continuously. You will collaborate with the APAC Communications Monitoring team in Pune, India, within the Monitoring, Surveillance & Controls department. The team's primary focus is to independently identify, assess, mitigate, and manage compliance risk across divisions related to key compliance risks such as suitability, anti-bribery, know your customer, market conduct, cross border, and conflicts of interest. Ensuring adherence to internal policies and safeguarding the firm's reputation from legal and regulatory risks are paramount in our operations. To excel in this role, you should possess experience in Surveillance, risk management, risk control, audit, or compliance, coupled with a solid understanding of financial services. Familiarity with the regulatory environment and expectations, as well as knowledge of relevant rules, guidance, regulations, and codes of practice, are essential for success. UBS is a globally renowned wealth manager operating in over 50 countries through four business divisions: Global Wealth Management, Personal & Corporate Banking, Asset Management, and the Investment Bank. Our commitment to a purpose-led culture and global infrastructure enables us to offer flexible working arrangements, including part-time, job-sharing, and hybrid options. Embracing diverse talents and fostering collaboration, we believe that our collective efforts and unique perspectives drive our continued success. Join #teamUBS and contribute to our shared achievements.,