101 Capital Markets Jobs in Pune

Support the delivery of key processes of Licensing Registration (LR) part of Regulatory Compliance function and ensure adherence to Standard Operating Procedures. This includes liaising closely with key CORC stakeholders, Business and other control functions such as HR

Advise Business (Wealth Management, Investment Banking and Asset Management) on licensing matters related to business changes such as new product introduction or new roles.


Ensure the regulatory requirements and obligations related to LR are communicated to the Business. Identify and escalate potential licensing related issues to relevant stakeholders in a timely and accurate manner

Provide timely response to queries from Singapore regulators (MAS/ SGX) with regards to licensed staff, liaise with Business Aligned Compliance (BAC) prior to providing a response.

Ensure that the LR team adheres to the controls, review the process to reduce operational risk and improve process efficiency

Keep abreast of latest regulatory developments related to individual licensing and arrange training sessions with the LR team and stakeholders

Perform 4 eye checks on regulatory submissions and provide feedback on any inconsistencies

Perform effective task allocation within the team and generate monthly management information reports. Lead the team in Pune and work in coordination with Licensing stake holders in Singapore

Lead the projects from licensing perspective related to integration, thematic reviews, process improvements, impact assessments due to regulatory changes etc . Basic understanding of Capital market products and different Business Areas of UBS

Experience in handling complex procedures, problem solving skills with a strong attention to detail

Good interpersonal skills and communication skills with the ability to work collaboratively with people at all levels of the organization

Preferred with knowledge or experience in Compliance, Risk or Audit function

Team management experience

Proficient in MS Office applications (Excel, Word, PowerPoint)

You are:

Bachelor/ Master s degree or higher in Finance, Accounting, Law, Business Administration, Risk Management or related disciplines

A self-starter, flexible, innovative and adaptive to change

Analytical with the ability to provide practical solutions for minimizing risk 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.