Job Description

The Controls Assurance Testing (CAT) 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 Controls Assurance team sits within the Compliance & Operational Risk Control (C&ORC) team. You will be working in the global Controls Assurance testing team in India. Our role is to perform the controls testing for SOX and non SOX testing elements of the CAT Program. You will work with regular engagement with UBS process owners in a variety of UBS global offices.
 

Roles & Responsibilities

- 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

Your Skills and experience

Your Experience and qualifications

CA with experience in SOX testing

Company Details

About Company

UBS

Company Information

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

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