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Job Overview



Job Role

Audit Executive

Gender preferred

No Preferences

Functional Area

Work preferred

Work from Office



Any Graduation

Post Graduation

Any Post Graduation




Group Functions

Job Reference #




Job Type

Full Time

Your role

Are you investigative in nature? Are you able to spot risks and challenge them?

We're looking for a regulatory reporting compliance analyst to:

  • Assist in conducting reviews of U.S. reporting processes to assess conformance with regulatory requirements

  • Perform sample-based transaction testing to assess accuracy of data used in reporting processes

  • Prepare written reports which summarize testing procedures conducted and resulting conclusions

  • Review remediation actions to assess closure of identified risks

  • Collaborate with peers in and across the second line of defense

  • Serve as a key point of contact to the business by providing updates on testing progress and addressing issues as they arise

Your team

You’ll be working in the Compliance and Operational Risk Control (C&ORC) Risk and Finance Data Assurance (R&F DA) team in Mumbai. R&F DA provides independent testing services to our business stakeholders as a second line of defense. As a data tester you will play a vital role by coordinating with business stakeholders to assess if data flowing from source systems to our regulatory and management reporting is accurate.

Your expertise

  • Excellent analytical skills with the ability to manipulate and comprehend large data sets and explain data/concepts in a clear and concise manner

  • Experience with reviewing data lineage and transformation – experience with SQL and/or Axiom is a plus

  • Understanding of U.S. reporting requirements (particularly on FR Y-9C, FR Y-14, etc.) gained either through experience in compliance, internal audit, or reporting function preferred

  • Skilled communicator who adapts style to audience and conveys clear, accurate, and concise information

  • Ability to quickly understand complex processes and challenge the status quo, identify risks and inadequacies in procedures

  • Reliable when working on your own, with sound judgment for when to escalate issues

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:

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.



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