UBS Financial Services Compliance Control Room Analyst in Nashville, Tennessee
Compliance Control Room Analyst
United States - Tennessee
Job Reference #:
Are you someone who likes to work in a fast-paced environment? Are you looking for a Compliance & Operational Risk Control (C&ORC) role that will give you exposure to the different business divisions of an investment bank? We are looking for someone like that to:
• work on the Americas Control Room team
• maintain our information barrier and global restriction databases
• work/communicate with Investment Banking (ECM, DCM, Advisory, Leveraged Finance) and Research relating to Chaperoning and Grey List requirements
• liaise with other regional compliance and control teams to ensure consistency with global procedures
• coordinate special projects, risk assessments and ‘deep-dives’
• maintain appropriate documentation of Control Room activities, where appropriate
We are the Americas Control Room team that is globally coordinated with other regional Control Room teams. Our team is based in New York and Nashville and work closely with our Corporate Client Solutions and Research C&ORC colleagues. We are responsible for the critical role of managing the firm's sales, trading, research and communication restrictions via Grey and Restricted Lists. We also manage the firms information barriers ensure compliance with our clients' confidentiality requirements and various securities and bank regulations. Our team is knowledgeable in the broad range of business areas in which we operate and the relevant regulatory requirements.
• excellent presentation and communication skills
• excellent work ethic
• Control Room experience is a plus
• focused on timeliness, accuracy and continual improvement
• able to successfully multi-task and learn multiple routines
• able to operate at both a detailed and strategic level
• a strong team player who can collaborate with multiple stakeholders
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?
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.