Financial Crime Prevention Assurance

2 months ago

Mumbai Maharashtra, India UBS Full time

India, Singapore
- Compliance
- Group Functions

**Job Reference #**
- 301787BR

**City**
- Mumbai, Pune, Singapore

**Job Type**
- Full Time

**Your role**
- Do you have proven experience in executing and supporting assurance reviews or audits, identifying complex financial crime risks and agreeing improvements to processes? Can you clearly communicate risks and issues to senior and executive management? You will:

- Ensure effective execution of Consolidated Supervision requirements over UBS affiliates under FINMA AML Ordinance (AML-O 6), as part of an annual program of detailed on-site or remote location reviews and cross-jurisdictional thematic reviews
- Work with colleagues in Financial Crime Prevention Risk, Group Internal Audit, and with other stakeholders to execute review activities that target financial crime control processes
- Assess and analyze complex data from multiple sources to draw insightful conclusions and identify risk concentrations
- Report results to stakeholders on issues and concerns identified; and maintain strong working relationships with remediation owners across UBS to ensure that agreed actions are appropriately tracked and implemented
- Advise on best practices and improvement opportunities for more effective financial crime remediation
- Represent the team, as part of a wider Assurance function, to senior stakeholders in compliance and across the business and participate in global Assurance programs and activities

International travel will be required as part of this role and you should be comfortable with working in a wide variety of locations.

**Your team**
- Financial Crime Prevention is a global program that drives remediation and root-cause resolution of regulatory and related AML, Sanctions, Fraud and Anti-Bribery & Corruption issues across all UBS locations. Your colleagues are a team of talented, motivated professionals, and you'll work with all stakeholders at all levels from compliance teams and the business.
The FCP Assurance function is responsible for all consolidated supervision, control testing and quality assurance activities within financial crime prevention including execution of periodic location reviews; control testing over first and second lines of defense; targeted quality assurance activities over execution of controls; setting and maintaining a strategy for assurance activity and reviewing the assurance program on an annual basis; working in conjunction with other control, monitoring and audit teams.

**Your expertise**
- An initiative taker and able to co-ordinate multiple tasks and drive delivery of results to meet tight deadlines
- Degree level or equivalent education
- 4+ years' experience ideally in compliance, audit or control assurance roles (experience in a large global financial services organization is highly desirable)
- Demonstrable experience successfully working with business stakeholders at a variety of levels
- Good understanding of control management and/or audit methodology, from planning through execution to reporting
- Good communication skills in order to effectively engage with key stakeholders
- Excellent understanding of AML regulations and policy in at least one jurisdiction, good knowledge of AML regulations across the APAC region and at least some working knowledge across Anti Bribery and Corruption, Sanctions control and Anti-fraud disciplines
- Detail oriented, professionally curious and able to provide effective challenge
- Team player and strong collaborator
- Excellent written and spoken communications in English, other languages are an asset

**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?

**Contact Details**
- UBS Business Solutions SA
UBS Recruiting

**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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