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Monitoring, Surveillance & Controls Monitoring Specialist APAC

3.00 to 7.00 Years   Pune   26 Jan, 2023
UBS Securities India Private Limited
Job LocationPune
EducationNot Mentioned
SalaryNot Disclosed
IndustryBanking / Financial Services
Functional AreaSales / BD
EmploymentTypeFull-time

Job Description

    Are you risk averse Do you have a keen eye for the finer details Were looking for someone like this to ensure: execute routine periodic manual controls in line with the Global MS&C Minimum Control Standards (GMMCS) framework and local requirements where applicable review relevant data, assess risk and agree the review scope with relevant stakeholders engage in any other ad-hoc reviews that arise from Global Functions, Business/Support functions or regulators follow-up and validate control results, liaise and communicate those with key stakeholders and subject matter experts prepare insightful and meaningful review reportsYour teamYou ll be working in the Manual Controls team in Pune for Compliance & Operational Risk Control Monitoring, Surveillance & Controls department. We are responsible for Monitors business activities in relation to compliance with all applicable laws, regulations and policies including Cross-border Activities, Investment Suitability, Know Your Customer (KYC), Conflicts of Interest, Sanctions, Anti-Bribery and corruption, amongst others. MS&C works in close cooperation with other C&ORC teams, including Financial Crime, Employee Conduct, Conduct Risk and Legal. The coordination and alignment of all control activities is a core responsibility of the MS&C Teams. The MS&C Teams are expected to carry out a comprehensive risk-based assessment to determine the appropriate control areas and the sampling and review methodology. Where applicable, the assessment should reflect the Global MS&C Minimum Control Standards (GMMCS), local standards (where applicable), business practices, and regulatory expectations., ideally 5+ relevant years of experience in Internal Controls, Surveillance & Monitoring, Compliance, Risk Management, Internal or External Audit a university degree ideally with relevant professional qualifications experience in financial crime (KYC/CDD, sanctions, anti-bribery and corruption) strongly preferred able to identify problems and seek practical solutions excellent communication skills (both written and verbal) ability to work effectively with others, be prepared to take a supportive role where required, assist others at short notice and be part of a small close-knit team excellent report writing skills and the ability to communicate risks, controls and proposed operational solutions in an effective way to audiences of all levels of seniority pragmatic and have the ability to think on your feet , balancing commercial objectives with legal, regulatory and ethical considerations to arrive at sound judgement and decisions and providing compelling solutions Proficient in Microsoft 365 (power point & Excel) Knowledge in Automation tools (Alteryx, Automation anywhere, Python, SQL, Tableau, Power BI) will be an added advantage.

Keyskills :
risk controlreport writingwriting skillsrisk managementoperational riskautomation toolswork effectivelyinternal controlscommunication skills

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