Job Opportunity at UBS for Compliance Officer
Job Opportunity at UBS for Compliance Officer at Pune. About UBS Expert advice, Wealth Management, Investment Banking, Asset management, Retail banking in Switzerland is some of the key areas of Operation of UBS. They work for private and institutional clients as well as corporations around the world. They have about 60,000 employees in all major financial centers, in… Read More »
Job Opportunity at UBS for Compliance Officer at Pune.
About UBS
Expert advice, Wealth Management, Investment Banking, Asset management, Retail banking in Switzerland is some of the key areas of Operation of UBS. They work for private and institutional clients as well as corporations around the world. They have about 60,000 employees in all major financial centers, in more than 50 countries.
Role
They are looking for a Licensing and Registration Analyst to join the Compliance & Operational Risk Control Function:
- Support the delivery of key processes of Licensing & Registration in line with the relevant Standard Operating Procedures. This includes liaising closely with key Conduct Risk stakeholders, the business, and other control functions.
- Identify and escalate potential disclosure events to relevant stakeholders in a timely and accurate manner.
- Perform a monthly review of Affirmations Online (AOL) and coordinate with Business for Disclosures.
- To assist in facilitating the collection and submission of Registration Applications to regulatory agencies on behalf of registered personnel of UBS.
- Coordinate communications with regulatory bodies on various registration-related issues.
- Coordinate the submission of firm-related registration applications to various self-regulatory and state insurance licensing agencies.
- Coordinate internal collection, review, and preparation of relevant disclosure documentation required by State Regulatory Agencies and meticulously maintain records.
- Develop control metrics to ensure compliance with key regulatory requirements.
- Manage and carrying out registration-related projects.
About the Licensing & Registration Team in UBS
The Licensing & Registration Team in UBS is part of the Compliance & Operational Risk Control (C&ORC) function. The team support UBS business areas within the Americas region, which includes five FINRA Broker-Dealers, NFA Regulated entities, including SWAP registration, as well as Insurance and Mortgage licensing.
Skills required
- Experience and knowledge of legal terminology used globally
- Project management experience
- Strong research and report-generating skills
- Excellent data analytic skills
- The process-oriented mindset with strong attention to detail
- Having exposure to US regulations and FINRA reporting requirements will be an added advantage
- Strong written and verbal communication skills
- Excellent PowerPoint, Excel, and Word skills
- Analytical, with the ability to provide practical solutions for minimizing risk
- A great communicator, you know how to speak with people at all levels of the organization
- An expert at building networks and connections
- A team player and highly organized
- Known for meeting deadlines
Seniority Level
Not Applicable
Employment Type
Full-time
Job Function
Legal, Finance, and Accounting/Auditing
Industries
Banking, Financial Services, and Investment Banking
City
Pune
Job Type
Full Time
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