Control Execution and Supervisory Specialist

UBS

  • Mumbai, Maharashtra
  • Permanent
  • Full-time
  • 7 days ago
Business DivisionsGlobal Wealth ManagementYour role
  • Do you have a compliance, controls, investigations and/or audit background with solid experience in the wealth management industry?
  • Are you able to assist the Front Line Origination Units on matters/queries related to AML, KYC, SOW and SOW Corroboration.
  • Are you able to assist the Front Line Origination Units on matters/queries related to Anti-Fraud, Investment Suitability and Cross Border requirements.
  • Are you able to evaluate, interpret and challenge complex information carefully?
  • Are you trustworthy in maintaining high business standards, while driving the business forward?
  • Do you know how to organize and prioritize your work to meet key deadlines?
  • Are you able to challenge colleagues in a constructive way?
  • Are you a self-starter within initiative, able to own and drive complex projects, while keeping management informed of regular progress?
We are looking for a high caliber individual with these qualities to be part of our Global Wealth Management (GWM) Front Line Support in Airoli, Mumbai.Function CategoryBusiness management, administration and supportJoin usAt UBS, we know that it's our people, with their diverse skills, experiences and backgrounds, who drive our ongoing success. We're dedicated to our craft and passionate about putting our people first, with new challenges, a supportive team, opportunities to grow and flexible working options when possible. Our inclusive culture brings out the best in our employees, wherever they are on their career journey. We also recognize that great work is never done alone. That's why collaboration is at the heart of everything we do. Because together, we're more than ourselves.We're committed to disability inclusion and if you need reasonable accommodation/adjustments throughout our recruitment process, you can alwaysYour teamYou'll be working in Front Line Support (FLS) Function, a 1st Line of Defense, locally reporting into the GWM APAC Business Risk Organization (BRO) Function.
FLS is responsible for executing ex-post controls as part of GWM Control Framework. We execute regular controls and perform regular analysis over the controls and share the outcome with relevant stakeholders as appropriate.
In addition, we provide regular advice and/or training to the Business to help enhance the overall quality and process adherence in the 1st Line of DefenseYour expertise- Good knowledge or background in risk, controls, investigations, compliance, audit and/or legal, and at least 2 years' experience working in wealth management sector
- Good knowledge in investment products (FX, Derivatives, Bonds, Structures, Equities) and requirement in areas of Investment Suitability
- Good knowledge in Cross Border, AML & KYC related requirements.
- Clear communicator, with exceptional interpersonal skills and a good listening skill
- creative approach to problem solving & challenging existing processes to drive improvements
- Proactive, independent, client-Oriented and well-organized Individual with critical thinking skills
- proficient in basic Microsoft applicationsAbout usUBS 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 hireWe may request you to complete one or more assessments during the application process.

UBS