Regulatory Compliance Analyst

Nashville, United States - Tennessee
Competitive salary
22 Mar 2023
28 Mar 2023
Approved employers
Approved employer
Job role
Your role
Are you an expert in solving complex problems? Do you know how to Identify, analyze and assess regulatory risks? We're looking for someone like that to:
• assist in the planning, coordination and delivery of our team's annual Swap Dealer review plan
• contribute as lead or joint reviewer for complex Swap Dealer reviews by analyzing and providing credible challenge on key processes, procedures and controls
• draft and issue impactful reports setting out the findings, conclusions, ratings, and remedial actions
• prepare detailed work papers to support the results of the review
• assist management with the reporting of results, trends, issues and themes to Swap Dealer governance and risk committees
• participate in the development and enhancement of testing methodologies and standards
• participate in the execution of the annual Compliance Risk Assessment

Your team
You'll be working on the Swap Dealer Regulatory Governance team within the IB (Investment Bank) Compliance and Operational Risk Control group. The team is responsible for conducting thematic reviews against our Swap Dealer compliance framework to ensure that adequate controls are established and that regulatory risks are effectively managed. Swap Dealer Regulatory Governance is also responsible for the development, maintenance and execution of the Firm's Swap Dealer program across all divisions, which supports the annual Swap Dealer Chief Compliance Officer certification stating that the Swap Dealer has policies and procedures that are reasonably designed to comply with the Commodity Futures Trading Commission's Swap Dealer regulations

Diversity helps us grow, together. That's why we are committed to fostering and advancing diversity, equity, and inclusion.
It strengthens our business and brings value to our clients.

Your expertise
• a university degree in finance, economics, business administration or numerical discipline
• J.D.M.B.A. or other relevant advanced degree a plus
• in-house audit at a financial institution or examination experience at a financial industry regulator a plus
• knowledge of financial products and services offered by the Firm
• knowledge of U.S. securities, including Securities & Exchange Commission (SEC) or Commodity Futures Trading Commission (CFTC) rules
• a great communicator (and you know how to handle challenging situations)
• team-orientated, while able to complete tasks independently
• motivated, energetic, diligent, conscientious, highly organized, detail-oriented, accurate and able to drive tasks to closure

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?

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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