UBS Financial Services Market Conduct Surveillance Analyst in Nashville, Tennessee
Are you risk averse? Do you know how to maintain independence and objectivity? We are looking for someone like that who can:
–act as a Compliance and Operational Risk Control (\"CORC\") Monitoring & Surveillance analyst to the IB and WMA, supporting them in managing regulatory risk
–perform second-line-of-defense controls in relation to consequential risks
–ensure risk frameworks are designed well and operating effectively
–deliver independent risk assessment and reports that shed light on our risk profile
–provide business management with controls, tools, training, frameworks , information and insights required to manage risk
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.
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 Market Conduct Surveillance team in Nashville. We surveillance trade and order activity of the firm to identify potential violations of Federal Securities Laws (e.g., insider trading, price manipulation) and regulatory violations (e.g., market access breaches, short sale violations, misreported trades). Through the use of vendor surveillance tools and automated exception reports, the team primarily researches alerts, makes inquiries with Business/Advisory/Technology areas, and escalates suspicious activities to Financial Crime team.
Your experience and skills:
–a degree in Finance, Economics, Accounting, or Business Management (or related)
–possess two to five years in experience in surveillance, regulation, investigations, or compliance
–broad knowledge of securities products and the markets
–analytical-minded, possessing the ability to use multiple data inputs to assess regulatory risk
–a team player, working with other analysts in identifying illegal or violate market conduct
–result-oriented and assertive (you don’t shy away from challenging situations)
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 almost 900 offices and more than 50 countries. Do you want to be one of us?
Job Reference #: 174009BR
Business Divisions: Corporate Center
Title: Market Conduct Surveillance Analyst
Job Type: Full Time
Country / State: United States - Tennessee
Function Category: Compliance