Regulatory Transaction Reporting Quality Assurance Specialist
Job Reference #
Do you have an interest in audit / risk control / data analytics areas? Do you know how to work well within a team to develop and deliver solutions? We’re looking for someone like that to:
• Perform an internal audit-type reviews on pre-defined controls that have direct and significant impact on transaction reporting
• Document findings from the above processes in a professional and concise manner
• Complete and communicate results of an independent assessment of controls' effectiveness
• Design and coordinate remediation efforts where needed
• Identify key areas of risk in the reporting process and influence the development of the requisite controls
• Check that material issues and reputation concerns are escalated appropriately in accordance to the internal escalation policy
• Innovate and execute process improvements in the quality assurance area to enhance productivity and efficiency
• Interface with senior management on key risks impacting the Firm’s derivatives reporting
• Stay up-to-date on regulatory requirements and trends
You will be working in the Regulatory Transaction Reporting Quality Assurance Direct Controls team. Our aim is to support regional management to ensure that UBS is executing transaction reporting responsibilities in a sustainable and high-quality manner that meets the expectations of regulators. You will be working with the broader Quality Assurance Teams based in London, Zurich, US and APAC and also with various partners across the firm, such as Integrated Middle Office, Regulatory Reporting Teams, Data Management, IT and Compliance. Your role will be to test pre-defined controls that have direct and significant impact on transaction reporting, provide stakeholders with RAG status assessments and assist them with implementing recommendations.
• Excellent analytical, problem-solving skills and a control mentality paired with attention to detail
• Strong written and verbal communication skills
• Ability to multi-task and work both individually and as a part of a Team
• Ability to develop and implement business-wide initiatives
• Aptitude for building relationships and ability to communicate complex issues to a wide array of internal clients with differing levels of product experience
• Inquisitive with risk aware mindset
• Knowledge of financial products and international market regulations
• Experience working in heavily regulated environments, preferably in the financial sector
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.