UBS Financial Services Americas Monitoring, Surveillance & Controls Lead in Nashville, Tennessee
The AMS&C (\"Americas Monitoring, Surveillance and Controls\") Remediation Lead will be an integral member of the Business and Risk Management team within AMS&C, responsible for the effective management of the department's regulatory remediation portfolio.
support Senior Management with development and preparation of plans to remediate MRAs and other regulatory issues and actions.
develop tracking mechanisms to ensure the timely identification of risks and potential impediments that may impact the ability to close remediation plans on time.
liaise with Central M&O teams to ensure all reporting obligations related to the remediation portfolio are effectively maintained.
respond to ad hoc information requests – from regulators or other UBS colleagues. This will involve construction and preparation of materials by obtaining information from various data sources and presenting them in a meaningful way.
proactively set up processes to ensure that our key information needs are sustainably and efficiently produced.
develop materials to support monthly AMSC management of the remediation path – escalating where internal deadlines are not met..
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.
Monitoring, Surveillance and Controls (\"MS&C\") is a second line of defense challenge function with the mandate to perform surveillance over a wide range of business activities. Our focus areas include Market Conduct surveillance; Client Related Conduct Surveillance; Employee Conduct Surveillance (including Electronic Communications) and Financial Crime Surveillance. The Americas Monitoring, Surveillance & Control (\"AMS&C\") team is a dynamic, pivotal part of the Americas Compliance and Operational Risk (\"AC&ORC\") organization.
Your experience and skills:
We are looking for a flexible, hands-on person with a strong work ethic and positive attitude who is interested in building a career in Compliance & Operational Risk Control. The individual is expected to have:
exceptional written and verbal communication skills in English with the ability to communicate complex issues succinctly and clearly;
strong organizational skills – manage multiple deliverables; maintain organized work files; execute within deadlines etc.
analytical / presentation skills: Strong Excel, PowerPoint & Word experience. SharePoint is used extensively in the group to organize data across the team, project management experience a plus.
prior experience in a surveillance role would be advantageous;
3 – 5 years industry experience; Bachelor's degree;
must be able to work confidently across all levels in the business.
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 #: 169352BR
Business Divisions: Corporate Center
Title: Americas Monitoring, Surveillance & Controls Lead
Job Type: Full Time
Country / State: United States - Tennessee
Function Category: Compliance