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UBS Financial Services Senior Regulatory Compliance Reporting Analyst in Franklin, Tennessee

Senior Regulatory Compliance Reporting Analyst

United States - Tennessee


Corporate Center

Job Reference #:




Job Type:

Full Time

Your role:

Are you a financial professional looking to expand your knowledge and skills in the area of compliance and risk? Are you able to juggle a variety of demands which include data analysis and reporting to regulators in a timely manner? Do you enjoy working in an environment that provides opportunities to learn about and interact with multiple teams across the company, including Trading, Legal, IT, and Operations?

We’re looking for a Senior Regulatory Reporting Analyst to:

• Analyze and assess the obligation to disclose shareholdings shown in the assigned jurisdictions and per the assigned rules as well as prepare the relevant disclosures in a timely manner

• Ensure that the supporting documentation for the disclosure decision is complete and accurate

• Maintain up to date and detailed knowledge of the various rules and regulations on shareholder reporting obligations in the assigned jurisdictions

• Create, update and review holding rules and reporting rules in the Shareholder Reporting unit’s systems used for disclosure purposes; ensure that existing holdings rules are valid, accurate and up to date

• Liaise with and maintain good relationships with regulators, exchanges, and other areas within the bank, Shareholder Reporting unit’s colleagues based in other jurisdictions and colleagues from our service provider based in India

• Ensure that the processes performed within your role are formally described and documented and that they are valid, accurate and up to date

• Be a role model to junior team members and assist with reviewing work to ensure all workflows and filings are completed accurately and correctly

• Assist in change the bank and run the bank initiatives to ensure technology and processes are consistent, repeatable, and efficient

Your team:

You will be working in the Global Shareholder Reporting team in Franklin, TN. We are responsible for providing analysis of global holdings and investments in order to comply with the regulatory shareholder reporting requirements in multiple jurisdictions. As a Senior Regulatory Reporting Analyst, you’ll play an important role in helping UBS meet regulatory disclosure requirements across multiple jurisdictions within the Americas region.

Your expertise:

You have:

• Bachelor's degree or equivalent

• At least 3 years working within a financial institution

• At least 1 year experience in a Legal or Compliance function

• Team oriented, with the ability to work independently with minimal supervision

• Advance level in Excel, including creating macros and use of formulas and pivot tables

• Demonstration of a strong interest in working in the compliance department of an international financial institution is necessary

• Working knowledge of financial markets, banking industry and investment products

• A willingness to perform detailed analytical work to a consistently high level of accuracy, even in times of high pressure, with the ability to provide practical solutions for minimizing risk

• An inquiring nature with a propensity to question facts and data, and a tenacious attitude towards problem solving

• The ability to work under pressure when the situation dictates, and to be comfortable liaising with the business at all levels

• An ability to identify and escalate relevant issues on a timely basis


About us:

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?

Join us:

We're a truly global, collaborative and friendly group of people. Having a diverse, inclusive and respectful workplace is important to us. And we support your career development, internal mobility and work-life balance. If this sounds interesting, 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.