MIFID II Regulatory Oversight Analyst
Business management, administration and support
Job Reference #
Have you had exposure to Equity, FX, Rates and Credit products? We are looking for someone to:
- partner with our colleagues in the business and other key stakeholders to ensure our compliance with MIFID II: Trade Reporting, Order Recordkeeping and Best Execution Reporting requirements and provide day to day oversight of the quality, completeness and timeliness of our reporting
- operate a suite of reconciliations designed to assure the completeness and accuracy of our reporting under MIFID II and perform first level analysis on resulting exceptions, identifying areas of misreporting and suggesting appropriate remediation actions
- feed into existing governance forums to provide updates on our reporting performance
- support in the maintenance of our eligibility services, conducting UAT to ensure technological and regulatory change does not have an adverse impact on our reporting performance
- create metrics to identify reporting issues and act quickly to determine the cause and escalate to our onshore counterparts as necessary
The role sits within new MIFID II Regulatory Oversight Team. The team consists of a London based group of 6 and a new nearshore team of 6 in Krakow Business Park in Zabierzow. The team's mandate is to ensure the Investment Bank adheres to specific regulatory requirements arising from MIFID II.
- experience in business analysis and reconciliation operation in an Investment Banking or financial institutions environment
- an understanding of Equity, FX, Rates and Credit products or similar Investment Banking products
- experience working with regulatory reporting requirements (MIFID, IFRS, GAAP, FINMA etc.)
- experience in process improvement and optimization
- strong verbal and written communication skills, an excellent working knowledge of Excel and an ability to challenge and communicate confidently at all levels within the organization
- analyst with at least 4 years of experience within Middle Office or Financial institution
- fluent in English
- a strategic and creative thinker, able to act with initiative and influence senior stakeholder
- technically minded and comfortable with data and complex technological solutions
- able to identify risks and escalate where necessary
- a flexible self-starter with the ability to work independently or collaboratively
Expert advice. Wealth management. Investment banking. Asset management. Retail banking in Switzerland. And all the support functions. That's what we do. And we do it for private and institutional clients as well as corporations around the world.
We are about 60,000 employees in all major financial centers, in more than 50 countries. Do you want to be one of us?
We're a truly global, collaborative and friendly group of people. Having a diverse, inclusive and respectful workplace is important to us. And we support your career development, internal mobility and work-life balance. If this sounds interesting, apply now.
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.