Harshitha Salian

Compliance Officer at UBS

Role: Compliance Officer at UBS
Location: Mumbai, MH, IN
LinkedIn followers: 500 followers

About Harshitha Salian

I am a risk management professional with over 6 years of experience, including CA articleship in internal & external audit and risk management across financial, operational and compliance areas. I am currently a Compliance Officer in the Investment Banking division at UBS, where I play a dual role of i) Conducting control testing as part of the Risk and Control Assurance Testing (RCAT) team, focusing on Designated Market Activity (DMA) controls and policies. ii) Leading the Supervisory Review Programme (SRP) central team, managing global assurance reviews from Mumbai.I specialize in internal audit engagements, Internal Financial Control (IFC) reviews and Sarbanes-Oxley (SOX) reviews for the following: • Functional Coverage : Finance, manufacturing, procure to pay, order to cash, human resource management and fixed assets management.• Industry: Investment Banking, Pharmaceuticals, Telecom, Hospitality, Manufacturing, Banking & Insurance and Media & Entertainment.• Experience purview: Improving processes while strengthening the existing controls for clients as part of internal audit reviews, conducting process walkthroughs, building Risk Control Matrix (RCM), preparation of narratives and process SOPs, test of design, test of effectiveness and drafting reports.When I am not at work I love to read, listen to podcast, practice yoga and mindfulness. I am passionately curious and strongly believe that there is yet more to learn and yet more to build. Feel free to reach out to me, I am always looking forward to an insightful conversation.

Experience

Compliance Officer
UBS
May 2023 — Present · Mumbai, IN
C & ORC Investment Banking (IB) Mumbai Business Aligned: Compliance officer working as a part of the Investment Banking division in UBS.• Risk Control Assurance Testing (RCAT): Part of the independent assurance team within the 2LOD known as Risk and Control Assurance Testing which is involved in i) maintaining an ongoing lens over Designated Market Activities (DMA) and support internal Non-Financial Risk processes and ii) independently review DMA controls and policies on a sample basis (TOD & TOE).• Supervisory Review Programme (SRP): Conducting SRP reviews to assess front-end supervisors understanding of the supervisory principles as laid down internally by UBS and externally by regulators and how they apply them within their role to ensure effectiveness of the supervision.Effective supervision is key to identifying and mitigating operational, conduct and compliance risk as embedded in line with UBS\'s key values.• Review Monitoring (RM): Performance of marketing material, pitchbook, sales commentary, 3PDC reviews and ORI.

Contact information

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Current company

瑞银集团

Financial Services · 117K employees · Founded 1862

From gaining new experiences in different roles to acquiring fresh knowledge and skills – at UBS we believe that you should never stop growing and learning because life never stops teaching. We know that it's our people – with their unique backgrounds, skills, experience levels and interests – who drive our ongoing success. Ready to be part of #teamUBS and make an impact? Find out more at ubs.com/careers. UBS works with individuals, families, institutions, and corporations around the world to help answer some of life's questions – whether through award winning wealth management advisory, investment banking and asset management expertise, or private and corporate banking services in Switzerland*. In June 2023, Credit Suisse became a UBS Group company. With our large and diverse team operating internationally, we have a presence in all major financial centers in more than 50 countries. Although we all come from different backgrounds and specializations, two things unite us: the conviction that we’re stronger together, and the will and curiosity to constantly innovate. That’s the key to us unlocking our full potential (and what we look for in everyone who joins us). It’s also why we’re regularly recognized as an attractive employer.* * Our awards https://www.ubs.com/awards Social Media Legal Terms: http://www.ubs.com/social-legal

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