UBS India Hiring Independent Management Testing Team Manager @ Pune

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Company : UBS (India) Pvt Ltd

Experience : Pune

Location : 3 – 7 yrs
Job Description

Title Independent Management Testing (IMT) Team Manager

Job Reference # 119846BR

Location India

City Pune

Function Category Risk Control

Business Divisions Corporate Center

Job Type Full Time
The IMT program is a major initiative within UBS to ensure that there are independent testing and assurance as to the key controls that address the Bank’s major risks. The IMT program is currently in a growth stage as we transfer from external providers to build the in-house capability to support our existing control and operational risk framework and ensure a robust testing & assurance program. The IMT program currently has three major work streams: SOX, Information Technology and Compliance.

The IMT team is a key part of the Global Compliance & Operational Risk Control (C&ORC) division and forms part of the Assurance team, itself part of the Monitoring & Oversight section of C&ORC. The candidate will work with regular engagement with UBS process owners in a variety of UBS global offices, and therefore working hours will be London time. Will be based in Pune but traveling will be required on occasion to Hyderabad for variable time periods, mainly during the set-up phase.

The role of the IMT Team Lead India is to manage and coordinate the controls testing activity for the local/regional/global testing elements of the IMT Program. The key elements of that include:

• To project manage the establishment of the in-house testing function in India, including:
? • Assist with hiring appropriate testing personnel
? • Manage on-boarding activities of staff, to include training
? • Act as local IMT representative for administrational issues including but not limited to:
o Office and workspace
o Local contracts and agreements
o Logistics
• Ensure the appropriate timing is assigned in terms of planning and execution, considering
tasks, schedules and available resources at anytime
• Coordination and creation of necessary reports and presentations on key results for management and governance committees, audit, etc.
• To participate in / complete required testing training (Testing procedures training and additional Business Function specific training provided by ORM)
• Build, maintain and strengthen partnerships with business functions, regions and taxonomy leads to collect, aggregate and report risk information
• To develop positive working relationships with other stakeholder groups, including Auditors – internal and external (EY), and co-source testing providers (currently Deloitte)
• To adhere to the briefing pack when dealing with control owners and follow procedures for escalation as outlined by ORM, taxonomy owners, COO (as relevant)
• To coordinate the Design Effectiveness (DE) and Operating Effectiveness (OE) testing as per the defined ‘IMT Testing Approach’
• To perform Quality Assurance (QA) reviews in a timely manner
• To escalate any potential testing issues / exceptions to appropriate teams (ORM, COO, global stream heads, IMT management)
• To inform Control Owners, COO, ORC, Taxonomy owners and ORM (where applicable) of any confirmed exceptions or fails on a timely and accurate manner
• To review Issue Logs, ensuring that they are kept up-to-date and detailed
• To ensure that when complete and any QA review points cleared, relevant testing is sent to E&Y (– SOX Only)
• To ensure and manage that any feedback points from E&Y are addressed promptly (– SOX Only)
• To participate in weekly progress meetings with ORM, COO and/or other stakeholders as appropriate, and contribute to discussions around control issues and fails, to include remediated / mitigated
• To contribute to the status reporting in a timely manner

The ideal candidate will have banking or related professional SOX experience, with a Financial Services focus. They should also have:

• Demonstrated experience of working with cross-section of internal stakeholders, incl. senior leadership and senior management committees
• Management experience
• Experience of performing, reviewing, reporting and managing tests of control
• Post-qualified experience in industry or practice
• ACA/ACCA or equivalent qualification
• SOX specific testing experience
• Strong analytical skills and risk controller / risk assessment experience

Key competencies include:

• Excellent project management and organizational skills, especially in planning and record keeping
• Good people management skills and the ability to work in a diverse team and get on with people who you are reviewing/testing
• Tenacity and diplomacy, enabling effective interaction with key stakeholders
• Exceptional closure skills
• Excellent communication skills, including the ability to communicate complex issues and proposed solutions in an effective way
Our Offering UBS offers talented individuals around the world a challenging, diverse and supportive working environment in which passion, commitment and hard work are valued and rewarded.

Why UBS? Watch the video
Take the next step Fitting in at UBS means being passionate and motivated about what you do. If you like collaborating, are used to challenging others and being challenged in return, then you have the right attitude to thrive in our environment. Want to become part of our team? Apply now.
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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