Job Description

Business DivisionsGroup FunctionsYour roleAre you risk averse? Do you know how to maintain independence and objectivity?We\'re looking for a C&ORC Specialist to:

• act as a compliance and operational risk control subject-matter expert across all business divisions
• conduct and document monitoring reviews to assess compliance with and adherence to regulations and internal electronic and audio communication policies
• deliver independent risk assessment and reports that shed light on our risk profile
• review employee communications, conduct initial analysis and identify suspicious activity as well as escalate cases for further review
• investigation and closing out the daily alerts thoroughly in a timely manner, and ensuring significant issues identified are fully investigated and promptly escalated where necessary
• support change-the-bank program within the employee monitoring space
• continuously improve their knowledge and understanding of the firm\'s policies and industry regulations

Function CategoryCompliance, RiskJoin usAt 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?Contact DetailsUBS Business Solutions SA
UBS RecruitingYour team- You\'ll be working with the APAC Communications Monitoring and Surveillance team within Monitoring, Surveillance & Controls in Pune, India.
- We\'re mandated to independently identify, assess, mitigate and manage compliance risk across divisions for the following key compliance risks: suitability, anti-bribery, know your customer, market conduct, cross border and conflicts of interest. We make sure there\'s no abuse of sensitive information, that internal policies are followed and that our reputation is protected from legal and regulatory risks.Your expertise

• experience in Surveillance, risk management, risk control, audit or compliance or worked in any banking or financial institution desired.
• good understanding of financial services
• an understanding of the regulatory environment and expectations
• knowledge of rules and guidance, together with other relevant regulations and codes of practice

You are:
- a strong communicator and analytical ability to provide practical solutions for minimizing risk
- result-oriented and assertive (you don\'t shy away from challenging situations)
- organized, with the ability to prioritize tasks
- an expert at record-keeping abilities, attention to details and investigation skillsAbout usUBS 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 hireWe may request you to complete one or more assessments during the application process.

UBS