Group SOX Office Specialist

2 weeks ago

Mumbai Central, India UBS Full time
Your role
Do you have a passion for risk assessment and challenge of key business processes? Are you at your best when supporting others and working with multiple stakeholders? We're looking for someone like that to:

  • Contribute to establishing methodology, framework and governance for Sarbanes-Oxley (SOX) requirements and activities
  • Perform SOX impact assessments of nonfinancial risk issues, events and control deficiencies identified through testing to understand the impact on UBS's financial reporting
  • Perform risk assessments across key business processes and financial reporting disclosures to support identification of key financial reporting risk areas
  • Support the business through provide robust guidance, advice and challenge across UBS, ensuring all SOX requirements are understood, owned and managed to our risk appetite
  • Oversee the preparation and production of reporting across various assurance programs, including SOX, and enhance qualitative content to provide valuable insights to stakeholders, whilst ensuring data quality and completeness
  • Build and maintain strong relationships with the internal stakeholders and external auditors
Your team

You'll be working in Compliance & Operational Risk Control Group Finance and Assurance team, which is part of the Group Compliance & Regulatory Governance (GCRG) function and governs to SOX framework, approach and assessments across UBS.

Your expertise
You have

  • 7+ years of risk and control experience in nonfinancial risk, financial reporting, and/or internal/external audit within the financial services industry for a bank or a professional services firm
  • University degree or equivalent qualification (preferably Accounting, Finance or similar)
  • Suitable professional accounting qualification such as CIA, ACA, ACCA
  • Strong understanding of SEC reporting requirements and IFRS reporting
  • In depth understanding of SOX compliance
  • Excellent communication skills, both oral and written; fluent English
  • Sound experience with PowerPoint and Excel
You are

  • Highly organized, with especially in relation to planning, record keeping and meeting deadlines
  • Analytically minded with strong problemsolving skills
  • Good at enabling effective interaction with key stakeholders
  • Resultoriented and assertive
About us
UBS 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.

Join us
At 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?

Disclaimer / Policy Statements
UBS is an Equal Opportunity Employer.

We respect and seek to empower each individual and support the diverse cultures, perspectives, skills and experiences within our workforce.

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