Licensing & Registration Compliance Officer Pune
1 day ago
India
- Compliance
- Group Functions
**Job Reference #**
- 254219BR
**City**
- Pune
**Job Type**
- Full Time
**Your role**
- Analyze the Licensing, Registration and Exam requirements of staff in regulated roles as per Singapore licensing regime
- Support the delivery of key processes of Licensing & Registration in line with the relevant Standard Operating Procedures. This includes liaising closely with key Conduct Risk stakeholders and the business and other control functions.
- Identify and escalate potential issues to relevant stakeholders in a timely and accurate manner
- Generate various reports for control, tracking and analysis purposes and ensure appropriate and secure retention of records and documents
- Adhere to the review processes to reduce operational risk and improve process efficiency
- Keep abreast of latest regulatory developments related to individual licensing
- Respond to ad-hoc queries in shared mailbox related to licensed staff
**Your team**
- The Licensing and Registrations Team is part of the Regulatory Management team within the Compliance and Operational Risk Control (C&ORC). You’ll be joining our Singapore Licensing Team based in Pune. We provide advice, solutions and execution with regards to licensing & registration requirements as per Monetary Authority of Singapore (MAS) and Singapore Exchange (SGX). The function has a cross-divisional remit covering the activities of the Investment Bank, Global Wealth Management, Global Asset Management and Group Functions Businesses.
**Your expertise**
- A Process oriented mindset with a strong attention to detail
- Strong research and report-generating skills
- Preferred with knowledge or experience in Compliance or Audit function
- Bachelor degree or higher in Finance, Accounting, Law, Business Administration, Risk Management or related disciplines
- Good communication skills with the ability to work collaboratively and with people at all levels of the organization
- A self-starter, flexible, innovative and adaptive
**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?
**Contact Details**
- UBS Recruiting India
**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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