Compliance Officer

3 days ago

Mumbai Maharashtra, India UBS Full time

India
- Compliance
- Group Functions

**Job Reference #**
- 321207BR

**City**
- Mumbai

**Job Type**
- Full Time

**Your role**
- Are you collaborative? Are you an expert in second line-of-defense activities, balancing compliance objectives with legal, regulatory, and ethical considerations? Do you advocate for the importance of compliance and operational risks?

Does this sound like you? If so, you have the right qualities to join us. Succeeding at UBS means respecting, understanding, and trusting colleagues and clients. It involves challenging others and being challenged in return.

**Your team**
- You will be working in the Group Compliance Regulatory & Governance (GCRG) India team. It is a global function within UBS that plays a critical role in managing non-financial risks and ensuring regulatory compliance across the organization. GCRG operates as part of the second line of defense (2LoD), where it supports regulatory compliance, risk oversight, and governance activities.

**Your expertise**
- Ensure a robust C&ORC framework is in place and kept up-to-date with policies, procedures, and legal, regulatory, and business standards.
- Deliver independent risk assessment and provide effective challenge to the 1st and 2nd line of defense concerning consequential risks and risk frameworks.
- Provide business management with training, frameworks, information, and insights required to manage risk.
- Review operational risk issues, checking and challenging as per the operational risk framework, and ensuring timely completion.
- Coordinate with senior management to ensure a healthy control environment and continuously review it to ensure it is fit-for-purpose, complete, and accurate.

**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 know that it's our people, with their diverse skills, experiences and backgrounds, who drive our ongoing success. We’re dedicated to our craft and passionate about putting our people first, with new challenges, a supportive team, opportunities to grow and flexible working options when possible. Our inclusive culture brings out the best in our employees, wherever they are on their career journey. We also recognize that great work is never done alone. That’s why collaboration is at the heart of everything we do. Because together, we’re more than ourselves.

We’re committed to disability inclusion and if you need reasonable accommodation/adjustments throughout our recruitment process, you can always contact us.

**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.

  • Compliance Officer

    3 days ago

    Mumbai, Maharashtra, India HR tailor Full time

    Greetings from Team Management Services (TMS), an end-to-end HR consulting services firm!     We found your resume suitable for the position of Compliance Officer currently open with one of our clients in Mumbai, India.   Company Profile:     Our client provides a state of the art, payment gateway solution - an essential component of...

  • Compliance Officer

    1 week ago

    Mumbai, Maharashtra, India CSAPL Full time

    ob Title: Compliance Officer Company Name - CapitalSquare Financial Services Private Limited Location: Mumbai Reporting To: Compliance Head / Senior Management About the Company: CapitalSquare Financial Services Private Limited is a dynamic trading member registered with the Bombay Stock Exchange (BSE). We specialize in delivering comprehensive trading...

  • Compliance Officer

    2 days ago

    Mumbai, Maharashtra, India Weekday AI Full time

    This role is for one of Weekday s clients Min Experience 4 years Location Mumbai JobType full-time Requirements We are seeking a dedicated and detail-oriented Compliance Officer with at least 4 years of experience in the financial services industry with a strong focus on Regulatory Investment Advisory RIA Non-Discretionary ND portfolio...

  • Compliance Officer

    5 days ago

    Kalina, Mumbai, Maharashtra, India Centrum Capital Full time

    Centrum Financial Services Limited Centrum Financial Services Limited (CFSL) is an NBFC-CIC. It holds majority stake in Unity Small **Company** Finance Bank and will also be the holding company of all the regulated businesses (Brokerage, Wealth management, Insurance broking, merchant banking, Asset Management etc.) of Centrum Group as an NOFHC...

  • Compliance Officer

    2 weeks ago

    Bandra, Mumbai, Maharashtra, India Kochra Realty . Full time

    **Job Summary**: **Key Responsibilities**: - Ensure compliance with accounting standards, tax regulations, and company policies. - Monitor and review financial reports to guarantee accurate and timely submission. - Oversee the preparation of statutory accounts, tax returns, and other compliance-related documentation. - Conduct audits to assess financial...

  • Compliance Officer

    2 weeks ago

    Andheri, Mumbai, Maharashtra, India Adler Talent Solutions Pvt. Ltd. Full time

    **Job Title**-Compliance Officer **Industry**-FMCG **Educational Qualification**-Any Graduate **Job Location**-Mumbai, Andheri East **Years of Experience**-2 to 7 years - The ESIC & PF Compliance Officer is responsible for ensuring that the organization complies with all statutory obligations related to the Employees' State Insurance Corporation (ESIC)...

  • Sebi Compliance Officer

    2 weeks ago

    Mumbai, Maharashtra, India Talent Corner HR Services Full time

    **About Company**: A prominent and established player in the financial services sector, this organization specializes in stock broking and related financial solutions. With a strong focus on trust, transparency, and client-centric service, the company has built a solid reputation in the industry. It is committed to innovation and excellence, creating a...

  • Compliance Officer

    1 week ago

    Mumbai, Maharashtra, India Worldline Full time

    **Compliance Officer (F/M)** **About Organisation**: At Worldline, our technology addresses persistent challenges of the payment world. We’ve established ourselves as a leading developer of creative software solutions for enabling the cashless society. If you are an authoritative Delivery Manager, then get ready to join our company. We have many...

  • Compliance Officer

    2 weeks ago

    Mumbai, India Antal International Full time

    Job Description Department: Compliance Role & Responsibilities: The Compliance assistant assist the Head-Compliance/CCO in performing his/her compliance related responsibilities. He/ she shall primarily focus on compliance related activities. Monitoring compliance of the Bank’s internal policies and fair practices codes Vetting/disseminating regulatory...

  • Chief Compliance and Risk Officer

    3 days ago

    Mumbai, Maharashtra, India Gen Re Full time

    Shape Your Future With Us General Re Corporation, a subsidiary of Berkshire Hathaway Inc., is a holding company for global reinsurance and related operations, with more than 2,000 employees worldwide. It owns General Reinsurance Corporation and General Reinsurance AG, which conducts business as Gen Re. Gen Re delivers reinsurance solutions to the...