Licensing and Registration Compliance Officer

2 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.

  • 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...

  • License & Registration Swaps/nfa Compliance Officer

    5 days ago

    Pune, Maharashtra, India UBS Full time

    India - Compliance - Group Functions **Job Reference #** - 312285BR **City** - Pune **Job Type** - Full Time **Your role** - Do you have good judgment? Are you a strong communicator? We're looking for talented people to join our Compliance & Operational Risk Control US Licensing and Registration team: - Front-to-back management of the Associated Persons...

  • Licensing Registration

    2 weeks ago

    Pune, Maharashtra, India UBS Full time

    India - Compliance - Group Functions **Job Reference #** - 301531BR **City** - Pune **Job Type** - Full Time **Your role** - You will assist the Registration Group in day-to-day operations or special regulatory compliance projects that enable you to widen your range of skills, experience, and knowledge in this area of regulatory compliance. - You will...

  • Licensing, Registration, Training

    2 weeks ago

    Pune, India UBS Full time

    India - Compliance - Group Functions **Job Reference #** - 274167BR **City** - Pune **Job Type** - Full Time **Your role** - Analyze and take decisions on 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 (L&R) in line with...

  • Licensing Officer

    2 weeks ago

    Mumbai, Maharashtra, India Ami Housing Limited Full time

    **Key Responsibilities**: - **License Management**: - Research and identify the required licenses, permits, and approvals for construction projects (e.g., building permits, environmental clearances, trade licenses). - Monitor expiration dates and ensure timely renewal of licenses. - **Regulatory Compliance**: - Stay updated on changes in...

  • Registration Executive

    2 weeks ago

    Byculla, Mumbai, Maharashtra, India L K Nakashe Consultants Pvt Ltd Full time

    Required Education Qualification - Minimum Graduate from any discipline. Skills - Good excel knowledge, Well versed with MS-Office, good written and verbal communication, Good drafting. - Handle registration for various statutory licenses across India. - Checks & verify the correctness of licenses like professional tax, shop of establishment, labor welfare...

  • Compliance Officer

    1 week ago

    Baner, Pune, Maharashtra, India Teerth Devlopers and Teerth Realties Full time

    Job Title: Construction Compliance Officer Job Summary: Ensure construction projects comply with regulatory requirements, Labour laws, regulations and statues, focusing on Provident fund, Employee state insurance and other relevant laws. Key Responsibilities: Labour Law Compliance (60%): 1. Monitor changes in labour laws and regulations. 2. Ensure...

  • Associate - Registration and Compliance

    5 days ago

    Kharghar, Navi Mumbai, Maharashtra, India RERA Easy Full time

    **About Us**: At RERA Easy, we are leading the transformation of real estate compliance. Our journey began with a focus on RERA consulting and has evolved into a premier force in the industry, delivering innovative solutions that streamline and enhance the compliance process. Our expertise encompasses Chartered Accountancy, Legal Advocacy, Architecture, and...

  • Business Compliance

    3 weeks ago

    Pune, India TECEZE Full time

    Job Title: Business Compliance & Registration Specialist – USALocation: India (Remote/Hybrid)Reporting to: Compliance Manager / Head of ComplianceJob Overview:We are seeking a dedicated Business Compliance & Registration Specialist to assist companies with their business formation and registration processes in the USA. This role involves handling federal...

  • Compliance Officer

    1 week ago

    Mumbai, Maharashtra, India SMEST Capital Private Limited Full time

    **TITLE: Compliance Officer** LOCATION**:Mumbai 400052** **JOB SUMMARY**: We are searching for a motivated compliance officer to guarantee that our business processes and transactions follow all relevant legal and. internal guidelines. **ROLES AND RESPONSIBILITIES**: - Responsible for company affairs. - Provide legal and compliance perspectives to the...