Job
Description
Are you risk averse Do you possess good interpretation and eye-for-detail skills We are looking for someone like you at UBS who can act as a compliance and operational risk control subject-matter expert across all business divisions, supporting them in managing risk. Your responsibilities will include conducting and documenting monitoring reviews to assess compliance with and adherence to regulations and internal E&A communication policies. You will ensure that risk frameworks are well designed and operating effectively. In addition, you will deliver independent risk assessments and reports that shed light on our risk profile. As part of your role, you will review employee communications, conduct initial analysis, identify suspicious activity, and escalate cases for further review. You will also be responsible for investigating and closing out daily alerts thoroughly in a timely manner, ensuring that significant issues identified are fully investigated and promptly escalated where necessary. Furthermore, you will support change-the-bank programs within the employee monitoring space and assist with the design and development of monitoring reports. You will be working in the Communications Surveillance team in Pune for Compliance & Operational Risk Control - Compliance & Investigations department. The team is responsible for monitoring communications across all divisions for key compliance risks such as offline communications, client complaints, market conduct, and conflicts of interest. Ensuring no abuse of sensitive information, adherence to internal policies, and protecting our reputation from legal and regulatory risks are our primary objectives. To excel in this role, you should have a degree from an accredited university and experience in Surveillance, risk management, risk control, audit, or compliance. A strong understanding of financial services and their various banking divisions, along with knowledge of the regulatory environment and expectations, is essential. Building relationships with stakeholders, effective communication, and analytical abilities to provide practical solutions for minimizing risk are key attributes we are looking for. You should be result-oriented, assertive, organized, and capable of prioritizing tasks. Expertise in record-keeping, attention to detail, and investigation skills are also crucial for success in this role. 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 more than 50 countries and a commitment to diversity and inclusion, UBS offers a supportive work environment with opportunities for growth and flexible working options. If you are ready to join a global leader in wealth management and contribute your skills and expertise to a dynamic team, we encourage you to apply to UBS. At UBS, we value our employees" diverse skills, experiences, and backgrounds, and are committed to providing a supportive and inclusive culture where collaboration is key to our success. If you require reasonable accommodation or adjustments during the recruitment process, please feel free to contact us as we are committed to disability inclusion. UBS is an Equal Opportunity Employer that respects and empowers each individual, supporting diverse cultures, perspectives, skills, and experiences within our workforce.,
