Job Description
Job Reference #
2+1333BR
Job Type
Full Time
Your role
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), Employee Information and Approval (EIA), 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 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.
For EIA: Analyze problems and define them in simple terms, provide responses and advice to queries via an online tool, escalate complex queries to an onshore subject matter expert (SME) for resolution when required, work with a global team who provide cover/backup for other regions as and when necessary and provide feedback to improve the system and operation of the service
Your team
The Employee Conduct (Employee Conflict of Interest “ECOI”) and Enquiries, Incidents & Alerts (EIA) Team in UBS is part of the Global Compliance & Operational Risk Control function. This team is responsible for Employee Conduct related matters which includes Personal Account Dealing (PAD), Affirmations (AOL) and External Directorship & Positions (EDP). The function has a cross-divisional remit covering the activities of the Investment Bank, Wealth Management, Global Asset Management and Group Function Businesses. We provide first line resolution of enquiries for Compliance & Operational Risk Control across all regions.
Your expertise
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
About Us
UBS is the world’s largest and the only truly global wealth manager. We operate through four business divisions: Global Wealth Management, Personal & Corporate Banking, Asset Management and the Investment Bank. Our global reach and the breadth of our expertise set us apart from our competitors..
We have a presence in all major financial centers in more than 50 countries.
How We Hire
This role requires an assessment on application. Learn more about how we hire: www.ubs.com/global/en/careers/experienced-professionals.html
Join us
At UBS, we embrace flexible ways of working when the role permits. We offer different working arrangements like part-time, job-sharing and hybrid (office and home) working. Our purpose-led culture and global infrastructure help us connect, collaborate, and work together in agile ways to meet all our business needs.
From gaining new experiences in different roles to acquiring fresh knowledge and skills, we know that great work is never done alone. We know that it's our people, with their unique backgrounds, skills, experience levels and interests, who drive our ongoing success. Together we’re more than ourselves. Ready to be part of #teamUBS and make an impact?
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
2+1333BR
Job Type
Full Time
Your role
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), Employee Information and Approval (EIA), 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 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.
For EIA: Analyze problems and define them in simple terms, provide responses and advice to queries via an online tool, escalate complex queries to an onshore subject matter expert (SME) for resolution when required, work with a global team who provide cover/backup for other regions as and when necessary and provide feedback to improve the system and operation of the service
Your team
The Employee Conduct (Employee Conflict of Interest “ECOI”) and Enquiries, Incidents & Alerts (EIA) Team in UBS is part of the Global Compliance & Operational Risk Control function. This team is responsible for Employee Conduct related matters which includes Personal Account Dealing (PAD), Affirmations (AOL) and External Directorship & Positions (EDP). The function has a cross-divisional remit covering the activities of the Investment Bank, Wealth Management, Global Asset Management and Group Function Businesses. We provide first line resolution of enquiries for Compliance & Operational Risk Control across all regions.
Your expertise
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
About Us
UBS is the world’s largest and the only truly global wealth manager. We operate through four business divisions: Global Wealth Management, Personal & Corporate Banking, Asset Management and the Investment Bank. Our global reach and the breadth of our expertise set us apart from our competitors..
We have a presence in all major financial centers in more than 50 countries.
How We Hire
This role requires an assessment on application. Learn more about how we hire: www.ubs.com/global/en/careers/experienced-professionals.html
Join us
At UBS, we embrace flexible ways of working when the role permits. We offer different working arrangements like part-time, job-sharing and hybrid (office and home) working. Our purpose-led culture and global infrastructure help us connect, collaborate, and work together in agile ways to meet all our business needs.
From gaining new experiences in different roles to acquiring fresh knowledge and skills, we know that great work is never done alone. We know that it's our people, with their unique backgrounds, skills, experience levels and interests, who drive our ongoing success. Together we’re more than ourselves. Ready to be part of #teamUBS and make an impact?
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
💡 Quick Summary
Seeking a career-building opportunity? The Employee Conflicts of Interest Specialist position is now open for candidates interested in the Bank Jobs sector. This role in Pune offers a professional environment and growth potential.
Requirement Snapshot: Candidates should possess basic communication skills, a proactive attitude, and the ability to work in a team. Experience in Bank Jobs is a plus.
