The UBS invited applications for the post of Compliance and Operational Risk Officer.
QUALIFICATIONS
- proven investment banking compliance or risk advisory experience for ideally 5+ years
- experience in audit or conducting independent reviews / controls testing within the financial industry would be beneficial for this role. This experience could have been gained in a consulting firm or in an internal audit function
- strong knowledge of or SME knowledge in any of FX, rates and credit markets, wholesale market activities across all asset classes, trading in financial instruments, industry benchmarks, price setting, electronic trading, order handling, market conduct, information barriers, front office supervision, employee conduct, IT audit and second-line monitoring and surveillance
- an ability to quickly understand complex processes and challenge the status quo, identify risks and inadequacies in controls and procedures
- a good working knowledge of the regulatory environment as it pertains to the investment banking business and market conduct
- resilience and are not fazed by challenging situations and conversations
- excellent verbal and written skills and are fluent in English
- a suitable professional qualification such as CA,CIA, ACA, ACCA or equivalent (preferable but not a prerequisite for role)
RESPONSIBILITIES
- support the business with its regulatory commitments to provide ongoing assessment and oversight over risks, controls and policies for Designated Market Activities (DMA) within the Investment Bank, Group Functions and Global Wealth Management
- drive as a team member independent controls testing and review of DMA business risks within the Investment Bank, Group Functions and Global Wealth Management, including thematic and front-to-back reviews
- analyze and assess DMA risks, policies and perform control design and operating effectiveness testing in both DMA businesses and Group functions
- identify, assess, report and escalate issues and control deficiencies to control owners, key stakeholders and senior management
- assist the business and control owners to mitigate identified risk issues by defining and agreeing appropriate remediation actions and track progress of those actions
- deliver independent risk assessment reports to UBS senior management from control reviews that shed light on the DMA risk profile
Job Location: Mumbai
For more details and to apply, click here
Last date for Online submission of Application: 09/11/2023
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