UBS Financial Services Equities Regulatory Reporting and Surveillance Analyst in Nashville, Tennessee
Are you detail oriented even when multitasking? Are you interested in trading products as well as regulatory requirements? Are you inquisitive with analytical and risk-aware mind-set? We are looking for someone like that to help us:
conduct monitoring and analysis to ensure completeness, accuracy and timeliness requirements for regulatory reporting for the U.S. equity division.
assisting in the review of day to day control processes for U.S. trade and transaction reporting obligations such as OATS, TRF (i.e. ACT), 605/606, TRACE, and LOPR.
escalate and participate in the resolution of issues impacting regulatory reporting.
work as part of the team on upcoming regulatory and process changes to ensure reporting continues successfully.
support senior staff in researching and responding to regulatory requests.
help develop and/or modify surveillance reports related to the Equities business
conduct and document monitoring reviews to assess compliance with applicable regulations.
assist in the investigation and response to regulatory inquiries and exams.
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 Equities Regulatory Risk Management team. We are an Equities Front Office function focused on ensuring necessary processes exist to support compliance with relevant securities laws, rules, regulations, and internal policies. We work with a number of internal areas, including Equities Sales and Trading, COO, Operations, Compliance & Operational Risk Control, and IT.
degree in any discipline will be considered, but preferably in Finance / Economics / Business Management / Business Analytics.
knowledge of equities and products and trade flows, with a focus on trading systems and reporting processes.
knowledge of investment bank products, trade life cycle, and trade booking models preferable.
experience in Compliance, Operational Risk and Control / Operations / Audit in the financial services industry preferred.
strong Excel as well as analytical and problem-solving skills across large data sets
risk and control mind set, with solid communication skills, drive and commitment.
innovative approach to solving day-to-day process problems.
able to manage high volumes of client requests and identify resources required to complete tasks to a high standard.
able to apply a technical understanding to data in order solve for complex problems.
team-oriented, while able to complete tasks independently.
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 #: 178099BR
Business Divisions: Investment Bank
Title: Equities Regulatory Reporting and Surveillance Analyst
Job Type: Full Time
Country / State: United States - Tennessee
Function Category: Investment Banking