Client Related Conduct Analyst
Apply NowCompany: UBS
Location: Raleigh, WV 25911
Description:
Your role
Do you have a passion for compiling and analyzing financial data and related information to solve varying and complex suitability and conflicts of interest related issues? Are you able to manage complex and varied projects in an efficient and effective manner? Do you enjoy collaborating with colleagues to obtain information and solve problems? We're looking for someone who can:
Analyze exception-based monitoring reports for potential violations
Ensure compliance with regulatory and Firm policies and procedures
Use Firm systems to review relevant activity
Perform reviews in a timely manner
Investigate and escalate issues as necessary and document the resolution and any corrective action taken
Interact with divisionally aligned Legal and Compliance staff and other business areas to discuss, progress, and resolve issues arising from the monitoring program
Identify patterns and contribute to management reports for statistics and appropriate escalation of significant issues and accomplishments
Mitigate risk, by alerting management when an existing control is not working and/or when you see that there is room for improvement
Design, test, and implement new controls as the need arises
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.
Your team
You will be working as part of the Monitoring, Surveillance & Controls team. This team is a second line control function, with oversight of the first line business processes.
Your expertise
You have:
a bachelor's degree or higher in a financial/banking related field (finance, economics, business, etc.); candidates with financial related experience will be considered in lieu of a bachelors' degree in a related field
background in financial services with a strong understanding of financial markets, products and services is desired. Industry licensing a plus
an understanding of regulatory rules as they pertain to the financial industry is beneficial
strong written and communication skills
You are:
a self-starter with a positive attitude and enjoy learning independently, with proper guidance and oversight
willing to work in a challenging and dynamic environment and are result-oriented and assertive
able to collaborate and communicate well with employees of different levels, including those of higher ranks
reliable and resilient (challenging situations and conversations do not hinder performance)
organized, reliable, and resilient; capable of dealing with multiple projects simultaneously to meet deadlines
About us
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.
How we hire
We may request you to complete one or more assessments during the application process. Learn more
Do you have a passion for compiling and analyzing financial data and related information to solve varying and complex suitability and conflicts of interest related issues? Are you able to manage complex and varied projects in an efficient and effective manner? Do you enjoy collaborating with colleagues to obtain information and solve problems? We're looking for someone who can:
Analyze exception-based monitoring reports for potential violations
Ensure compliance with regulatory and Firm policies and procedures
Use Firm systems to review relevant activity
Perform reviews in a timely manner
Investigate and escalate issues as necessary and document the resolution and any corrective action taken
Interact with divisionally aligned Legal and Compliance staff and other business areas to discuss, progress, and resolve issues arising from the monitoring program
Identify patterns and contribute to management reports for statistics and appropriate escalation of significant issues and accomplishments
Mitigate risk, by alerting management when an existing control is not working and/or when you see that there is room for improvement
Design, test, and implement new controls as the need arises
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.
Your team
You will be working as part of the Monitoring, Surveillance & Controls team. This team is a second line control function, with oversight of the first line business processes.
Your expertise
You have:
a bachelor's degree or higher in a financial/banking related field (finance, economics, business, etc.); candidates with financial related experience will be considered in lieu of a bachelors' degree in a related field
background in financial services with a strong understanding of financial markets, products and services is desired. Industry licensing a plus
an understanding of regulatory rules as they pertain to the financial industry is beneficial
strong written and communication skills
You are:
a self-starter with a positive attitude and enjoy learning independently, with proper guidance and oversight
willing to work in a challenging and dynamic environment and are result-oriented and assertive
able to collaborate and communicate well with employees of different levels, including those of higher ranks
reliable and resilient (challenging situations and conversations do not hinder performance)
organized, reliable, and resilient; capable of dealing with multiple projects simultaneously to meet deadlines
About us
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.
How we hire
We may request you to complete one or more assessments during the application process. Learn more