UBS Financial Services Client-related Business Conduct Compliance Monitoring Analyst in London, United Kingdom
Are you risk aware? Do you know how to maintain independence and objectivity? We are looking for someone like that who can:
• Assist in delivering the Client-Related Business Conduct compliance monitoring & surveillance programme with focus on Wealth Management (WM) by performing second-line-of-defense 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 and Conflicts of Interest) and regulations (MiFID 2, FCA requirements).
This is to ensure adherence to regulatory requirements and internal policies and safeguard UBS’s reputation against legal and regulatory risks.
• Distil concerns or issues identified from reviews and reporting these findings to senior management with recommended actions to address deficiencies
• Implement changes as a result of monitoring findings to enhancing controls, test procedures and process
• Promoting the benefits of \"good compliance\" and supporting management in developing the business in an innovative manner whilst adding value by suggesting business practice improvements
• Pro-actively contribute to the assessment of business risks and leveraging management information to identify key business risks and emerging trends both within WM and cross business division
• Collaborate with C&ORC colleagues involved in implementing strategic departmental projects.
• Supporting MSC& team lead on implementation and delivery of ad hoc project work
What we offer:
Together. That’s how we do things. We offer people around the world a supportive, challenging and diverse working environment. We value your passion and commitment, and reward your performance.
Keen to achieve the work-life agility that you desire? We're open to discussing how this could work for you (and us).
Take the next step:
Are you truly collaborative? Succeeding at UBS means respecting, understanding and trusting colleagues and clients. Challenging others and being challenged in return. Being passionate about what you do. Driving yourself forward, always wanting to do things the right way. Does that sound like you? Then you have the right stuff to join us. 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.
You’ll be working in the UK Monitoring, Surveillance & Control (MS&C) team in London. We form part of the Global MS&C team within Compliance & Operational Risk Control (C&ORC).
Our primary role is the monitoring of the Client-Related Business Conduct business activity to ensure adherence to a number of key taxonomies (Suitability, Cross Border and 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 business and C&ORC colleagues and is also involved in implementing departmental projects including global initiatives.
Your experience and skills:
• an understanding or working knowledge of the WM business, processes and risks
• experience in compliance monitoring, risk management, risk control or audit
• an understanding of the regulatory environment and expectations, FCA rules and guidance together with other relevant regulations and codes of practice
• analytical, with the ability to provide practical and realistic solutions for minimizing risk
• result-oriented and assertive (you don’t shy away from challenging situations)
• able to convey information clearly, accurately and succinctly
• able to show determination, effort and enthusiasm to deliver results within challenging timeframes
• collaborative and work cohesively with other team members to meet deadlines
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?
Job Reference #: 169839BR
Business Divisions: Corporate Center
Title: Client-related Business Conduct Compliance Monitoring Analyst
Job Type: Full Time
Country / State: United Kingdom
Function Category: Compliance