UBS Financial Services Regulatory Change Analyst in Nashville, Tennessee
Do you understand FINRA, SEC and other financial services regulatory rules? Are you good at analyzing laws, rules and regulations? We are looking for someone like that who can:
– monitor, manage and track regulatory changes to ensure that the firm is compliant with rules
– retrieve regulatory change alerts via the Thomson Reuters Connect (TR Connect) tool
– determine applicability of rules, at a firm level
– notify compliance officers and other control functions as appropriate
– create an action plan for remediation of any identified gaps with key impacted stakeholders
– manage the action plan within the TR Connect tool through completion
– leverage the TR Connect tool to provide reports on the status of implementation or compliance
– maintain the inventory of policies, procedures and controls and their mapping to laws, rules and regulations
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 Regulatory Developments Tracking U.S team. We are a four-member team with two co-heads in the New York area and two team members located in Nashville. We oversee the regulatory change process in the U.S. and Canada. We are responsible for tracking the lifecycle of regulatory changes from initial notification of the change, assessment of the potential impact, to action plan management, which can result in the implementation of new or amended policies, procedures or other internal controls.
Your experience and skills:
– a minimum of 2 - 3 years financial services experience
– experience in a Legal or Compliance department of a financial institution
– an understanding of the GRC (Governance, Risk Management and Compliance) framework as it applies to banks
– Bachelor's degree or equivalent; or are a recent law school graduate
– analytic, with the ability to interpret laws, rules and regulations and how they may apply to the firm
– result-oriented, capable of meeting deadlines
– collaborative, with the ability to communicate and work well with others at all levels
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 #: 176379BR
Business Divisions: Corporate Center
Title: Regulatory Change Analyst
Job Type: Full Time
Country / State: United States - Tennessee
Function Category: Compliance