UBS Financial Services AMS&C Conflicts of Interest Surveillance Team Manager in Weehawken, New Jersey
Monitoring, Surveillance and Controls (MS&C) is a second line of defense challenge function with the mandate to perform surveillance over a wide range of business activities. The focus area of this position within MS&C is Conflicts of Interest Monitoring (\"COI\"), covering the various scenarios in which employees may be incented to act in a way that does not benefit our clients. The Americas Monitoring, Surveillance & Control (AMS&C) team is a dynamic, essential part of the Group Compliance & Regulatory Governance (\"GCRG\") organization.
The COI Surveillance Team Manager will be an integral member of management within AMS&C, responsible for the day-to-day management of the team, to include:
•\tReview and update policies and procedures related to conflicts of interest
•\tAdvise senior management on trends and issues related to actual or perceived conflicts of interest, ensure the timely identification of risks and potential impediments that may impact key surveillance deliverables
•\tMentor and train COI Surveillance staff, with a focus on career development
•\tRespond to ad hoc information requests – from regulators or other UBS colleagues. This will involve construction and preparation of materials by obtaining information from various data sources and presenting them in a meaningful way
•\tDevelop materials to support monthly AMS&C management – escalating where internal deadlines are not met
•\tSupport Management with development and execution of various change projects
This position will be a direct report into the Americas MS&C Head of Client-related Conduct Surveillance.
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 will be leading a team of Analysts in Nashville as part of Monitoring, Surveillance & Controls. This team is a second line control function, with oversight of the first line business processes.
We are looking for a flexible, hands-on person with a strong work ethic and positive attitude who is interested in building a career in Compliance & Operational Risk Control. The individual is expected to have:
•\tExceptional written and verbal communication skills in English with the ability to communicate complex issues succinctly and clearly.
•\tStrong organizational skills – manage multiple deliverables; maintain organized work files; execute within deadlines etc.
•\tAnalytical / presentation skills: Strong Excel, PowerPoint & Word experience. SharePoint is used extensively in the group to organize data across the team; project management experience a plus.
•\tStrong leadership skills, with the ability to manage both local and remote employees.
•\tPrior experience as a surveillance manager is preferred.
•\tMinimum 5 years Compliance or Supervisory experience required; Bachelor's degree.
•\tMust be able to work confidently across all levels in the business.
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 #: 186024BR
Business Divisions: Corporate Center
Title: AMS&C Conflicts of Interest Surveillance Team Manager
Job Type: Full Time
Country / State: United States - New Jersey
Function Category: Compliance