Client Related Conduct Analyst

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

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.

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?