Compliance Monitoring Surveillance and Controls Analyst
Job Reference #
Do you enjoy monitoring data to challenge missed or wrong inputs? Are you holding banking or financial services experience and would like to progress in the field of compliance?
We’re looking for a person like this to:
• assist in delivering the Wealth Management (WM), Asset Management (AM) and Investment Banking (IB) compliance monitoring & surveillance programme by performing second-line-of-defence reviews to assess controls and provide assurance that controls are operating effectively in relation to consequential risks across a number of key taxonomies (Suitability, Cross Border, Market Conduct, Conflicts of Interest) and regulations
• ensure adherence to regulatory requirements and internal policies and safeguard UBS’s reputation against legal and regulatory risks
• support MS&C team lead on implementation and delivery of ad hoc project work
You’ll be working in the Client Related Business Conduct team (CRBC) which is a part of the UK Monitoring, Surveillance & Control (MS&C) team in Zabierzow. We form part of the Global MS&C team within Group Compliance, Regulatory & Governance (GCRG). Our primary role is the monitoring of WM, AM and IB UK business activity to ensure adherence to a number of key taxonomies (Suitability, Cross Border, Market Conduct, Conflicts of Interest) to ensure adherence to regulatory requirements and internal policies and safeguarding UBS’s reputation against legal and regulatory risks. The team has close and continuous collaboration with the WM, AM and IB business and C&ORC colleagues and is also involved in implementing departmental projects including global initiatives.
• experience of working in or some knowledge of WM, AM or IB business, compliance monitoring, risk management, risk control or audit and an understanding of the regulatory environment
• fluent business English
• a pragmatic approach and are detail orientated
• result-oriented and assertive (you don’t shy away from challenging situations)
• able to convey information clearly, accurately and succinctly
• willing to challenge status quo and to help improve processes
• able to demonstrate effort and enthusiasm to deliver results within challenging timeframes
• a team player
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.
UBS Recruiting Poland
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.