Compliance Officer

4 days ago

Mumbai Maharashtra, India UBS Full time

India
- Compliance
- Group Functions

**Job Reference #**
- 324233BR

**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.

**How we hire**

**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.

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