Job Description

We are looking for a business aligned compliance and operational risk officer to:

• support the business in remaining compliant within the regulatory environment and managing their risk
• drive the identification, assessment, measurement, mitigation and monitoring of compliance and operational risk as it pertains to the business
• participate in reviewing new business initiatives and transactions requiring pre-approval
• ensure risk frameworks are designed well and operating effectively
• deliver independent risk assessment and reports that shed light on aligned risk profile
• review business marketing materials
• provide business management with controls, tools, training, frameworks, information and insights required for them to manage risk.

Roles & Responsibilities

The selected candidate will be working in the business aligned Compliance and Operational Risk Control (C&ORC) team in Mumbai. The team supports Equities, Fixed Income, Control Room and Corporate Banking business by partnering with them to effectively manage regulatory risk in an environment of collaboration and constructive challenge. The activities include implementing of Operational Risk Framework and to ensure regulatory and operational risks are identified, properly assessed and recorded. Develop risk mitigating measures, controls and adequate remediation plans. The candidate will also collaborate with global colleagues to ensure that best practices are being shared around the region/globe.

Your Skills and experience

Your Experience and qualifications

• candidate ideally with 2-5 years of experience in financial services compliance or risk advisory
• sound know-how in the analysis of business processes
• strong written and verbal communication skills to effectively work with teams globally
• good working knowledge of aligned regulatory environment as it pertains to the business ability to verify aspects of commercial and operational arrangements within the business and challenge documentation with an independent mindset
• reliable and resilient (Candidate should be able to manage under challenging situations and conversations)
• working knowledge of Microsoft Office applications (in particularly PowerPoint, Excel – running macros) and/or Tableau would be an added advantage

Company Details

About Company

UBS

Company Information

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?

How to Apply

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