UBS Financial Services Regulatory Business Control Tester in Mumbai, India
Do you have a knack for Regulatory Controls testing? 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
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.
Keen to achieve the work-life agility that you desire? We're open to discussing how this could work for you (and us).
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.
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 Mumbai. Our role is to perform Regulatory Controls testing. 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:
ACA/ACCA or equivalent audit or accounting qualification
10+ years' experience in Financial Services or Big 4 practice
experience performing Regulatory Controls testing
experience in managing team of 6-8 members
very good written and spoken English
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
result-oriented and assertive (you don't shy away from challenging situations)
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 more than 50 countries. Do you want to be one of us?
Job Reference #: 173819BR
Business Divisions: Corporate Center
Title: Regulatory Business Control Tester
Job Type: Full Time
Country / State: India
Function Category: Compliance