Compliance Specialist – Pune, Maharashtra – UBS

September 21, 2022

Job Description

Job title: Compliance Specialist

Company: UBS

Job description: Business Divisions

Group Functions

Your role

  • Analyze the Licensing, Registration and Exam requirements of staff in regulated roles as per Singapore / Hong Kong licensing regime
  • Support the delivery of key processes of Licensing & Registration, Training and Education in line with the relevant Standard Operating Procedures. This includes liaising closely with key compliance stakeholders, 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
  • Coordination, compilation and analysis of Key Performance Control (KPC) reports to provide a review of the processes and controls for each function
  • Critically reviewing processes to reduce operational risk and improve process efficiency
  • Keep abreast of latest regulatory developments related to individual licensing
  • Responding timely to communications/queries from stakeholders

Function Category


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

Your team

The Licensing, Registration, Training and Education team is part of Group Compliance, Regulatory and Governance (GCRG) function. This team is responsible for providing advice, solutions and execution with regards to licensing, registration, training and education requirements of Hong Kong and Singapore regulatory authorities. The team is also responsible for monitoring the Continues Professional Training /Development of the licensed staff in Hong Kong, Singapore, Australia and New Zealand

Your expertise

Your Expertise

  • A Process oriented mindset with a strong attention to detail
  • Strong research and report-generating skills
  • Proficient in MS Office applications (Excel, Word, PowerPoint)
  • 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

This role requires an assessment on application. Learn more about how we hire:

Expected salary:

Location: Pune, Maharashtra

Job date: Wed, 21 Sep 2022 04:11:35 GMT