Ib C&orc Front Office Aligned Control Assurance Tester

Job description
India
- Audit, Compliance
- Group Functions
Job Reference #
- 309679BR
City
- Mumbai
Job Type
- Full Time
Your role
- Are you a sharp evaluator of risk? Do you have experience in providing compliance, audit or risk advisory services within an investment bank? Are you confident when it comes to speaking up for what is right and challenging at all levels?
We are looking for an Investment Bank Compliance and Operational Risk Officer to:
- conduct independent control assurance testing across the Investment Bank (IB), segments of Global Wealth Management (GWM) and Group Functions (GF), including thematic and front-to-back reviews
- maintain high quality testing documentation as per internal methodology guidelines
- address and clear any review queries raised through supervisory review in a timely manner
- Agree findings with IB, GWM and GF control owners and draft reportable issues
- Provide timely progress updates on testing progress, including escalating potential delays to delivery to assurance leads
- Collaborate with peers and colleagues within the business, business aligned compliance, GIA and Non-Financial Risk functions
Your team
- You’ll be working in the Investment Bank aligned Compliance and Operational Risk Control team in Mumbai. We primarily support the Investment Bank business by partnering with them to effectively manage regulatory risk in an environment of collaboration and constructive challenge. Our duties include implementing the Non-financial Risk Framework and to ensure regulatory and compliance risks are identified, properly assessed and recorded. You'll play an important role in helping us develop risk mitigating measures, controls and making sure adequate remediation plans are in place. You'll also collaborate with global colleagues to ensure that best practices are being shared around the region/globe. The team’s core focus is on the first and second line of defence control landscape across the Investment Bank, Global Wealth Management and Group Functions.
Your expertise
- University degree or equivalent qualification
- 2-4 years Investment Banking compliance, audit or risk advisory experience, preferably within a consulting firm or financial services organization.
- experience conducting independent control assurance testing is preferred.
- knowledge of wholesale market activities across asset class and relevant compliance risk topics including Market Conduct, Conflicts of Interest, Supervision and Suitability
- excellent analytical and problem solving skills
- excellent verbal and written communication skills, including ability to challenge the business
- reliable when working independently, with sound judgement for when to escalate issues
- risk focused, and capable of using data analytics to gain insights and efficiencies
- CA, ACCA, CPA, CIA or equivalent qualification will be an added advantage
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
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.