Regulatory Maintenance Analyst – SEC SBSD
Job Reference #
Are you keenly aware of the importance of an effective control framework? Do you thrive in a dynamic and collaborative environment? We're looking for someone like that to:
– be part of our Regulatory Maintenance team in Krakow
– be responsible for the accurate & timely maintenance of client data regulatory attributes
– be responsible for running control reports, flagging and resolving any errors in daily processes, identifying and escalating risks
– take responsibility for appropriate escalation and coordinate resolution delivery with relevant parties
– collaborate effectively with partner functions to enhance the process and eliminate recurring issues / exceptions
You will be working in the Regulatory Maintenance team in Krakow. This is a Client Lifecycle Maintenance function aligned to the Investment Bank. We are a processing & control function which performs the maintenance of client regulatory data attributes, using both third party data platforms and client sourced information. The team will be responsible for the tasks related to the newly introduced US regulation concerning Security-Based Swap Dealers. The members of the team will perform daily/weekly controls and reconciliations that are focused on ensuring client data is accurate and complete, resulting in a seamless trading and client experience.
– some familiarity and knowledge of the financial markets regulations
– experience in delivering quality client service
– a clear communication style
– an awareness of when to escalate
– having a pragmatic "can do" attitude
– an innovative approach to solving day-to-day process problems
– good English in speaking and writing
– strong MS Excel skills e.g. Vlookup, Pivot Tables (VBA/Macro design knowledge will be an additional asset)
– able to take ownership of the design and operating effectiveness of key controls and processes
– able to plan, organize and monitor your own day-to-day work with minimal guidance
– proactive, driven and results-oriented
– a dedicated team player and able to collaborate across functions to deliver results
– highly responsible, self-motivated, efficient and able to work under pressure and within tight deadlines
– able to identify root causes of issues and drive/implement changes
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.