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Licensing and Registration Compliance Officer

3 weeks ago

Pune Maharashtra, India UBS Full time

India
- Compliance
- Group Functions

**Job Reference #**
- 293144BR

**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 regulated individuals.
- Review and perform compliance checks and study internal controls.
- 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 Registration & Regulatory Reporting Team is part of the Regulatory Management team within the Compliance and Operational Risk Control (C&ORC). You’ll be joining our LR&RR Team based in Pune. We provide advice, solutions and execution with regards to licensing & registration requirements as per regulator requirement in Americas. 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**
- You Should Have
- Bachelor/ Master’s degree or higher in Finance, Accounting, Law, Business Administration, Risk Management or related disciplines
- strong communicator and able to work meet deadlines under pressure
- highly organized and results orientated
- ability to challenge and drive process change
- A self-starter, flexible, innovative and adaptive to 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 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 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 Business Solutions SA
- UBS Recruiting

**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.