C&ORC Business Control Assurance SOX Tester / Auditor UBS

3.0 - 7.0 years

0 Lacs

pune, maharashtra

On-site

Role Overview: As a member of the Compliance & Operational Risk Control (C&ORC) Business Control Assurance team at UBS in Pune or Mumbai, India, you will be responsible for performing Design Effectiveness (DE) and Operating Effectiveness (OE) testing in accordance with internal methodology. Your role will involve maintaining high-quality testing documentation, addressing review points raised through Quality Assurance (QA) review, and escalating any potential testing issues to appropriate teams. Key Responsibilities: - Perform Design Effectiveness (DE) and Operating Effectiveness (OE) testing as per internal methodology to agreed deadlines - Maintain high quality testing documentation - Address and clear any review points raised through Quality Assurance (QA) review in a timely manner - Escalate any potential testing issues / exceptions to appropriate teams and record issues in the issues logs timely and accurately - Support Control Owners, onshore Process Owners, and Operational Risk Controllers in understanding reported control deficiencies and related risks - Provide timely updates to the testing progress status tracker and stream leads - Share and maintain knowledge Qualifications Required: - 3+ years of experience in operational controls, financial reporting controls, or internal control areas (preferably within the financial services industry or professional services firms) - University degree or equivalent qualification (preferably in Accounting, Finance, or similar) - Experience performing tests of controls including SOX specific testing (preferable) - Very good written and spoken English - ACCA/CIA or equivalent audit or accounting qualification would be an asset About UBS: UBS is the world's largest and the only truly global wealth manager, operating through four business divisions: Global Wealth Management, Personal & Corporate Banking, Asset Management, and the Investment Bank. With a presence in all major financial centers in more than 50 countries, UBS offers a diverse and inclusive work environment where collaboration and diversity are valued. Join UBS: UBS values its people and is dedicated to providing new challenges, a supportive team, opportunities for growth, and flexible working options. The inclusive culture at UBS fosters collaboration and emphasizes the importance of working together. If you require reasonable accommodation/adjustments throughout the recruitment process, UBS is committed to disability inclusion and encourages you to contact them. Disclaimer / Policy Statements: UBS is an Equal Opportunity Employer that respects and seeks to empower each individual within its workforce. The company supports diverse cultures, perspectives, skills, and experiences to create an inclusive work environment.,

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