Your role

The Cross Border Surveillance Analyst will play a critical role in analyzing client and employee activity, conducting in-depth reviews, and investigating potential violations to Firm Policy. In the process, you will collaborate extensively with supervisory teams, Compliance professions, as well as business personnel, to execute the cross border program. Primary duties will include: • Analyze exception-based monitoring reports for potential violations. • Ensure compliance with regulatory and Firm policies and procedures. • Use Firm systems to review employee communications, expenses, travel, and other 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. This position will report into the AMER Cross-Border Monitoring and Surveillance Manager and will work closely with cross border team members as well as colleagues on other teams within Client Related Conduct and AMS&C as needed.

Your team

AMER Monitoring, Surveillance and Controls (AMS&C) is a second line of defense challenge function with the mandate to perform surveillance over a wide range of business activities. Our focus areas include Client Related Conduct Surveillance; Market Conduct Surveillance; Employee Conduct Surveillance (including Electronic Communications) and certain aspects of Financial Crime Surveillance. The AMS&C team is a dynamic, growing, and integral part of the Group Compliance, Regulatory & Governance (GCRG) organization.

Your expertise

We are looking for a flexible, hands-on person with a strong work ethic and positive attitude who is interested in building a career in Group Compliance, Regulatory & Governance. The individual is expected to have: • Bachelor's degree with experience in Financial Service or similar relevant experience. • Strong organizational skills - manage multiple deliverables; maintain organized work files; manage to deadlines etc. • Proficient in Microsoft Office applications (Word, Excel) and strong ability to learn new in house developed technologies. • Exceptional written and verbal communication skills in English with the ability to communicate complex issues succinctly and clearly. • Ability to speak Spanish a plus. • Willingness to learn and adapt to change. • Financial industry experience and general product knowledge (preferred) • Must be able to work confidently across all levels in the business.

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?

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.