UBS Financial Services SOX Business Tester in Pune, India

Job Reference #:


Business Divisions:

Corporate Center

Your role:

Do you have a knack for SOX Audit? Are you at your best when supporting others? We’re looking for someone like that to:

  • Perform the Design Effectiveness (DE) and Operating Effectiveness (OE) testing as per the defined Testing Approach

  • 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

  • Inform Control Owners, onshore Process Owners and Operational Risk Control

  • Maintain the Issue Logs, ensuring they are kept up-to-date and detailed

  • Provide timely updates to the testing status tracker and ensuring all QA review points are closed out quickly.

  • Participate in weekly/monthly progress meetings with control owners and contribute to discussions around control issues and fails

  • Perform testing of remediated controls and escalate any potential issues immediately

  • Contribute to the status reporting in a timely manner

  • Share and maintain knowledge


SOX Business Tester



Job Type:

Full Time

Country / State:


Function Category:


What we offer:

Together. That’s how we do things. We offer people around the world a supportive, challenging and diverse working environment. We value your passion and commitment, and reward your performance.

Why UBS? Video

Take the next step:

Are you truly collaborative? Succeeding at UBS means respecting, understanding and trusting colleagues and clients. Challenging others and being challenged in return. Being passionate about what you do. Driving yourself forward, always wanting to do things the right way. Does that sound like you? Then you have the right stuff to join us. Apply now.

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.

Your team:

The Independent Management Testing (IMT) program is an initiative within UBS Group Risk Control, to ensure that we have independent testing and assurance of procedural controls that address our major risks.

The IMT team sits within the Compliance & Operational Risk Control (C&ORC) team. You will be working in the global Independent Management Testing \"IMT\" program team in Pune. Our role is to perform the controls testing for SOX and non SOX testing elements of the IMT Program. You will work with regular engagement with UBS process owners in a variety of UBS global offices, and therefore working hours will be flexible.

Your experience and skills:

You have

  • ACA/ACCA or equivalent audit or accounting qualification

  • 3+ years' experience in Financial Services or Big 4 practice

  • Experience performing tests of controls including SOX specific testing

  • Very good written and spoken English

You are

  • Strong at organising skills, especially in planning and record keeping

  • Strong at analytical, problem-solving and synthesizing skills (you know how to figure stuff out)

  • Good at people skills and the ability to work in a diverse team and get on with people who you are reviewing/testing

  • Good at enabling effective interaction with key stakeholders – Tenacity and Diplomacy

  • Having excellent closure skills

  • Result-oriented and assertive (you don't shy away from challenging situations)

  • Known for hitting deadlines

About us:

Expert advice. Wealth management. Investment banking. Asset management. Retail banking in Switzerland. And all the support functions. That's what we do. And we do it for private and institutional clients as well as corporations around the world.

We are about 60,000 employees in all major financial centers, in almost 900 offices and more than 50 countries. Do you want to be one of us?