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Do you have a passion for compiling and analyzing client and employee activity, conducting in-depth reviews, and investigating potential violations to Firm policy to solve varying cross-border related issues? Are you able to manage complex and varied reviews and projects in an efficient and effective manner? Do you enjoy collaborating with colleagues to obtain information and solve problems? We're looking for someone who can:
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
Complete 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 identify there is room for improvement
Design, test, and implement new controls and/or modify existing controls to mitigate risk due to industry changes, program updates, etc.
You will be working as part of the Monitoring, Surveillance & Controls team in Nashville. This team is a second line control function, with oversight of the first line business processes.
You have: - a bachelors' degree or higher in a financial/banking related field (finance, economics, business, etc.); candidates with financial related experience will be considered in lieu of a bachelors' degree in a related field - background in financial services / investment banking (or related skillset) is desired - strong written and communication skills, with the ability to speak Spanish a plus
You are: - a self-starter with a positive attitude and enjoy learning independently, with proper guidance and oversight - willing to work in a challenging and dynamic environment and are result-oriented and assertive - able to collaborate and communicate well with employees of different levels, including those of higher ranks - reliable and resilient (challenging situations and conversations do not hinder performance) - organized, reliable, capable of dealing with multiple projects simultaneously, and willing to learn and adapt to change - proficient in Microsoft Office applications (Word, Excel) with the ability to learn new in house developed technologie
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.
Internal Number: 6693845
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