(EV616) - C&ORC Specialist

(EV616) - C&ORC Specialist

25 Dec
UBS Securities India Private Limited
Pune Division

25 Dec

UBS Securities India Private Limited

Pune Division

Assess and proceed with individuals Hong Kong regulators (SFC & HKMA) license and registration applications, de-registration requests and ongoing regulatory notifications in respect of the Hong Kong licensing regime.

Liaising closely with key stakeholders in Compliance, the business and other control functions and timely respond to the related request and enquiries.

Able to handle lots of data, analyze them and pay attention to detail.

Identifying and escalating potential issues to relevant stakeholders in a timely and accurate manner.

Maintaining reports for control, tracking and analysis purposes and ensuring appropriate and secure retention of records and documents

Adhere and able to review processes to reduce operational risk and improve process efficiency.

Keep abreast of latest licensing regulatory developments

Perform ad hoc duties as required

Your team

The Licensing and Registrations Team is part of regional Compliance & Operational Risk Control team. You ll be joining our Hong Kong Licensing Team based in Pune. We provide advice, solutions and execution in individuals SFC licensing and HKMA registrations. The function has a cross-divisional remit covering the activities of the Investment Bank, Global Wealth Management, Global Asset Management and Group Functions Businesses.


a strong experience in process management:

A Process oriented mindset with a strong attention to detail

Experience of dealing with and analyzing large amounts of data and information

Strong project management and organizational skills and capability to handle multiple projects at one time

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

Preferred with knowledge or experience in similar role

You are:

Bachelor degree in Finance, Accounting, Finance, Law, Business Administration, Risk Management or related disciplines

Excellent written and verbal communication skills

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

A self-starter, flexible, innovative and adaptive

Known for meeting deadlines

Able to identify the gaps and has attention to detail

Analytical with the ability to provide practical solutions for minimizing risk

The original job offer can be found in Kit Job:

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