Compliance Monitoring Specialist
- Recruiter
- UBS
- Location
- Nashville, United States - Tennessee
- Salary
- Competitive salary
- Posted
- 23 May 2023
- Closes
- 22 Jun 2023
- Ref
- 276499BR
- Approved employers
- Approved employer
- Job role
- Compliance/risk
- Sector
- Accounting - Public practice
Your role
Are you looking to work in a competitive and dynamic environment, being part of a team that manages the strategy of compliance monitoring initiatives? Are you an expert on understanding risk management?
We're looking for a high performing candidate to be a Compliance Monitoring Specialist within our Compliance Americas CAO Team to cover the following:
• Proficiency working with large data sets and ability to create impactful presentations to effectively communicate issues, trends and observations embedded within the data
• Identify and propose opportunities to progress digitization and automation initiatives
• Identify, analyze and assess compliance risks
• Identify and evaluate the effectiveness of existing controls
• Support the planning, coordination, and delivery of our monitoring program
• Maintain a working knowledge of current FINRA, SEC, and state regulatory issues, as well as UBS policies and procedures
• Prepare detailed work papers to support the results of the monitoring program
• Structure and propose remedial actions to address identified issues
• Report identified issues to our management
• Articulate an independent and balanced opinion in written and oral form
• Identify and propose opportunities to develop the monitoring program and help with plan execution
Your team
As a Compliance Specialist within the Combined US Operations (CUSO) Compliance Monitoring you will be responsible for supporting the monitoring program across our business divisions and engaging the compliance team across our organization. The role is within our Global Compliance and Risk Group and is part of the Americas Compliance CAO Team. The team is primarily responsible for conducting compliance monitoring of US controls, policies, and procedures to ensure they are effectively designed and operating to address the requirements of Laws, Rules, and Regulations impactful to the US businesses
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 bachelor's degree or equivalent
•ideally 2+ years of experience in the financial services industry and knowledge of the regulatory environment
•familiarity with compliance monitoring at a financial institution or examination experience at a financial industry regulator preferred
•analytical expertise and demonstration of analysis experience
•knowledge of financial products and services offered by broker dealers
•knowledge of U.S. securities laws & regulations as well as SRO rules
•able to proficiently work with large data files to construct key messages and themes, identify potential issues and manage deliverables associated with program implementation and execution
•experienced constructing MIS and presentations for management
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.
Are you looking to work in a competitive and dynamic environment, being part of a team that manages the strategy of compliance monitoring initiatives? Are you an expert on understanding risk management?
We're looking for a high performing candidate to be a Compliance Monitoring Specialist within our Compliance Americas CAO Team to cover the following:
• Proficiency working with large data sets and ability to create impactful presentations to effectively communicate issues, trends and observations embedded within the data
• Identify and propose opportunities to progress digitization and automation initiatives
• Identify, analyze and assess compliance risks
• Identify and evaluate the effectiveness of existing controls
• Support the planning, coordination, and delivery of our monitoring program
• Maintain a working knowledge of current FINRA, SEC, and state regulatory issues, as well as UBS policies and procedures
• Prepare detailed work papers to support the results of the monitoring program
• Structure and propose remedial actions to address identified issues
• Report identified issues to our management
• Articulate an independent and balanced opinion in written and oral form
• Identify and propose opportunities to develop the monitoring program and help with plan execution
Your team
As a Compliance Specialist within the Combined US Operations (CUSO) Compliance Monitoring you will be responsible for supporting the monitoring program across our business divisions and engaging the compliance team across our organization. The role is within our Global Compliance and Risk Group and is part of the Americas Compliance CAO Team. The team is primarily responsible for conducting compliance monitoring of US controls, policies, and procedures to ensure they are effectively designed and operating to address the requirements of Laws, Rules, and Regulations impactful to the US businesses
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 bachelor's degree or equivalent
•ideally 2+ years of experience in the financial services industry and knowledge of the regulatory environment
•familiarity with compliance monitoring at a financial institution or examination experience at a financial industry regulator preferred
•analytical expertise and demonstration of analysis experience
•knowledge of financial products and services offered by broker dealers
•knowledge of U.S. securities laws & regulations as well as SRO rules
•able to proficiently work with large data files to construct key messages and themes, identify potential issues and manage deliverables associated with program implementation and execution
•experienced constructing MIS and presentations for management
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.