Job Description

Business DivisionsGroup FunctionsYour roleAre you an expert in assessing value and risk? Do you love to give advice, as well as educate?
We're looking for a Compliance Officer.

• fulfil obligations and duties as Compliance Officer and applicable regulatory guidelines for Capital Market in India.
• act as Compliance Lead for India and exercise governance and oversight on SEBI/NSE/BSE/APMI Framework to deliver Compliance agenda.
• track and disseminate the regulatory changes. Related advisory and bring out key impact areas and socialized with first line stakeholders.
• undertake periodic risk assessments to identify risks associated with products & services and process.
• analyze new business / product proposals keeping in mind financial crime associated risks.
• supporting India CCO during regulatory reviews/inspections on Compliance areas.
• review and supervise inquiries received from law enforcement authorities.
• assist in preparation & submission of regulatory reporting/requests etc. to ensure that regulatory commitments are submitted in a timely manner.
• maintain healthy professional working relationship among all stakeholders including regulators & auditors.
• assist Head of GWM IN C&ORC wrt preparation, co-ordination and providing response to audit team, business stakeholders etc.
• socialize policy requirements and undertake trainings on new developing areas for stakeholders.
• assist in ensuring that the compliance tone set out by regional CCO management and as advised by Senior CCO management is being adopted and followed including regular and accurate reporting to Management by way of preparation of various MIS, decks etc.
• act as feedback provided on Reputational risk escalation cases.
• undertake enhance due diligence and provide feedback on such cases referred to Compliance.
• partner with regional / global teams on project implementations having change impact to India franchise.
• performing compliance reviews on reporting obligations to SEBI/Exchanges.

Function CategoryComplianceJoin 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?Your teamYou'll be working in the UBS Compliance team in Mumbai, As a Compliance Officer for GWM India.
C&ORC GWM provides an effective compliance and operational risk program for GWM that includes a dynamic risk-based approach to manage and control operational risk within GWM. The function also ensures that the risks and exposures are in line with the Division's risk appetite and the relevant laws and regulations. This includes establishing and implementing a comprehensive and efficient control framework covering C&ORC risks and partnering with the business to ensure the implementation of key growth and remediation projects.
The C&ORC India has oversight and coverage over Global Wealth Management (GWM) division across multiple Credit Suisse and UBS onshore licensed entities by RBI and SEBI in India.Your expertise

• candidate is expected to have background and experience of Capital market regulations issued by SEBI, Exchanges, APMI and BASL.
• knowledge of statutory and regulatory reporting obligations e.g. SEBI/ Exchange relating to secondary market area.
• understanding and fair knowledge of product licenses / features under SEBI regulations and Exchange rules (e.g. Portfolio Management, Broker Dealer & Investment Advisor etc.).
• experience to interact with regulators and handling inspections.
• prior experience in Compliance function is must.

About 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