Licensing and Registration Compliance Officer

4 days ago

Pune, India UBS Full time

India
- Compliance, Risk
- Group Functions

**Job Reference #**
- 260083BR

**City**
- Pune

**Job Type**
- Full Time

**Your role**- Keep abreast of latest licensing regulatory developments. Provide regulatory advisory to the business on licensing matters.
- Perform period licensing review for the FINRA regulated individuals
- Review the processes to reduce operational risk and improve process efficiency.
- Liaising closely with key stakeholders in Compliance, the business and other control functions and timely respond to the related request and enquiries.
- Perform ad hoc duties as required.

**Your team**
- The Licensing and Registration Team in UBS is part of the Group Compliance Regulatory & Governance function. This team is responsible for Employee Conduct related matters which includes Licensing & Registration, Personal Account Dealing (PAD), Affirmations (AOL), External Directorship & Positions (EDP) and Training. The function has a cross-divisional remit covering the activities of the Investment Bank, Wealth Management, Global Asset Management and Corporate Center Businesses.

**Your expertise**
- You should have
- strong communicator and able to work meet deadlines under pressure
- highly organized and results orientated
- ability to challenge and drive process change

You are: - 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 - known for meeting deadlines

**About us**
- UBS is the world’s largest and 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.
- With more than 70,000 employees, we have a presence in all major financial centers in more than 50 countries. Do you want to be one of us?

**How we hire**

**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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