C|amp|ORC Licensing and Registration Specialist

Job Reference #

2750+7BR

Job Type

Full Time

Your role
• You will be part of the Licensing, Registration, Training and Education Team supporting key process of Continues Professional Development /Training (CPT/D) for licensed staff in APAC and

drive and implement the process improvement projects, work towards quality control /assurance process of Licensing and Registration process
• Monitor and report on the regulatory training obligations of licensed staff in APAC
• Ensure timely delivery of accurate progress reports and communications to all licensed staff and summary reports to Business Managers
• Comprehend regulator guidelines to prepare and maintain SOPs, Bulletins, FAQs and other supportive documents for efficient communication to licensed staff, business, business-aligned compliance teams and other stakeholders
• Resolve queries through email/tickets raised by staff
• Evaluate training materials to ascertain eligibility as per regulators’ guidelines
• Analyse completion progress and prepare summary reports to present to senior stakeholders
• Proactively take necessary actions to achieve full completions before annual deadlines
• Identify process improvement opportunities and implement changes individually or in collaboration with automation team. Regularly connect with automation team on enhancements, challenges related to CPT/D reporting.
• Accomplish ad-hoc tasks related to process in a timely manner meeting stakeholder expectations
• Keep abreast of latest regulatory developments related to individual licensing

Your team

The Licensing, Registrations, Training and Education Team is part of the Regulatory Management team within the Compliance and Operational Risk Control (C&ORC). You’ll be joining our LRTE Team based in Pune. We provide advice, solutions and execution with regards to licensing & registration requirements as per regulator in Hong Kong and Singapore. 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
• Bachelor/ Master’s degree or higher in Finance, Accounting, Law, Business Administration, Risk Management or related disciplines
• An exceptional communicator - spoken, written (email communications, drafting SOP, bulletins, etc.), you know how to communicate and work collaboratively with people at all levels of the organization
• A strong experience in handling complex procedures, regulatory process oriented mindset with a strong attention to detail & strong research and report-generating skills
• Preferred with knowledge or experience in Compliance or Audit function
• Proficient in MS Office applications (Excel, Word, PowerPoint)
• A self-starter, flexible, innovative and adaptive to change
• Analytical with the ability to provide practical solutions for minimizing risk
• A believer of working with integrity

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: www.ubs.com/global/en/careers/experienced-professionals.html

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?

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