Compliance and Operational Risk Officer

India
- Compliance
- Group Functions

**Job Reference #**
- 254557BR

**City**
- Mumbai

**Job Type**
- Full Time

**Your role**
- Are you someone who likes to work in a fast-paced environment? Are you looking for a Compliance & Operational Risk Control (C&ORC) position that will give you exposure to the different business divisions of a major investment bank? We are looking for someone like that who can:

- We are looking for a compliance and operational risk officer to:
- support the business in remaining compliant within the regulatory environment and managing their risk
- drive the identification, assessment, measurement, mitigation and monitoring of compliance and operational risk as it pertains to the business
- maintain our information barrier and global control room databases
- work/communicate with Investment Banking (ECM, DCM, Advisory, Leveraged Finance) and research relating to chaperoning and grey list requirements
- liaise with other regional compliance and control teams to ensure consistency with global procedures
- coordinate special projects, risk assessments and ‘deep-dives’
- maintain appropriate documentation of control room activities

**Your team**
- You'll be working in the Control Room C&ORC team, based in Mumbai, which is part of the Group Compliance, Regulatory and Governance function, partnering daily with staff in the Corporate Client Solutions and Research business areas. The Mumbai Control Room C&ORC team works closely with our Investment Bank and Wealth Management C&ORC colleagues.
- We are responsible for the critical role of managing sales, trading, research and communication restrictions via Grey and Restricted Lists. We also manage information barriers, ensure compliance with our clients' confidentiality requirements and various securities and bank regulations. Our team is knowledgeable in the broad range of business areas in which we operate and the relevant regulatory requirements

**Your expertise**
- ideally 3-5 years of experience in financial services compliance or risk advisory
- excellent work ethic
- control room experience is a plus but not required
- focused on timeliness, accuracy and continual improvement
- strong written and verbal communication skills to effectively work with teams globally
- reliable and resilient (challenging situations and conversations don’t sway you)
- fluent in English

**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.