Conflicts of Interest Surveillance Analyst at UBS (Nashville, TN)

| Nashville, TN
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Your role

Do you have a passion for compiling and analysing financial data and related information to solve varying and complex suitability and conflicts of interest related issues? Are you able to manage complex and varied 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:
• conduct risk-based monitoring and testing pursuant to a pre-defined program timely • analyze exception-based monitoring reports for potential violations• ensure compliance with regulatory and Firm policies and procedures• investigate and escalate issues as necessary; document the resolution and any corrective action taken• interact with divisionally aligned Compliance staff and other business areas to discuss, progress, and resolve issues/risks 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 see that there is room for improvement• design, test, and implement new controls as the need arises• support Management with development and execution of various change projects

Join us

At UBS, we embrace flexible ways of working when the role permits. We offer different working arrangements like part-time, job-sharing and hybrid (office and home) working. Our purpose-led culture and global infrastructure help us connect, collaborate, and work together in agile ways to meet all our business needs.

From gaining new experiences in different roles to acquiring fresh knowledge and skills, we know that great work is never done alone. We know that it's our people, with their unique backgrounds, skills, experience levels and interests, who drive our ongoing success. Together we're more than ourselves. Ready to be part of #teamUBS and make an impact?

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.

Your team

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.

Diversity helps us grow, together. That's why we are committed to fostering and advancing diversity, equity, and inclusion. It strengthens our business and brings value to our clients.

Your expertise

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 with an understanding of financial markets, products and services is desired • an understanding of regulatory rules as they pertain to the financial industry is beneficial• strong written and communication skills

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 and capable of dealing with multiple projects simultaneously to meet deadlines


About us

UBS is the world's largest and only truly global wealth manager. We operate through four business divisions: Global Wealth Management, Personal & Corporate Banking, Asset Management and the Investment Bank. Our global reach and the breadth of our expertise set us apart from our competitors.

With more than 70,000 employees, we have a presence in all major financial centers in more than 50 countries. Do you want to be one of us?
More Information on UBS
UBS operates in the Fintech industry. UBS was founded in 2022. It has 81283 total employees. It offers perks and benefits such as Flexible Spending Account (FSA), Disability Insurance, Dental Benefits, Vision Benefits, Health Insurance Benefits and Life Insurance. To see all 72 open jobs at UBS, click here.
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