UBS Financial Services Employee Conduct Compliance Officer in Pune, India
Do you have good judgment? Are you a strong communicator? We're looking for talented people to join our Employee Conduct team to: – Supporting the delivery of key processes such as Personal Account Dealing (PAD), Affirmations (AOL), External Directorships & Positions (EDP), Licensing & Registration and Training functions in line with the relevant Standard Operating Procedures. This includes liaising closely with key Employee Conduct stakeholders, C&ORC, the business and other control functions. – Identifying and escalating potential issues to relevant stakeholders in a timely and accurate manner. – Critically review processes to reduce operational risk and improve process efficiency. – Monthly coordination and production of APAC Employee Conduct Management Information reports which are used to provide relevant information to internal and external stakeholders. – Coordination, compilation and analysis of Key Performance Control (KPC) reports. KPC reports provide a review of the processes and controls for each function
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 Employee Conduct Team in UBS is part of the Global Compliance & Operational Risk Control function. This team is responsible for Employee Conduct related matters which includes Licensing & Registration, Personal Account Dealing (PAD), Affirmations (AOL), External Directorship & Positions (EDP) and Training. The function has a cross-divisional remit covering the activities of the Investment Bank, Wealth Management, Global Asset Management and Corporate Center Businesses.
Your experience and skills:
You have: – a strong experience in process management – a process oriented mindset with a strong attention to detail – experience in an environment where no two cases are the same – You are: – a great communicator, you know how to speak with people at all levels of the organization – an expert at building networks and connections – a team player – known for meeting deadlines
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 #: 165508BR
Business Divisions: Corporate Center
Title: Employee Conduct Compliance Officer
Job Type: Full Time
Country / State: India
Function Category: Compliance