Job Summary and Mission:|
As the Control Analyst, you perform delegated supervisory functions for the complex/branch and ensuring that the complex is in compliance with firm risk management guidelines and policies. As the Control Analyst you may be responsible for performing as delegated certain operation's functions for the complex.
- Perform delegated branch operational risk and audit process.
- Review as delegated, Producing Branch activities within the complex.
- Manage non-operational client issues and complaints following firm policy and regulatory requirements.
- Perform Monthly Active Account reviews.
- Communicate and ensure compliance with firm risk management guidelines and policies
- Ensure compliance with legal and regulatory requirements, including Sarbanes-Oxley
- Monitor client accounts and transactions and oversee as delegated employee related activity (e.g. outside accounts, political contributions)
- Ensure branch completion of required compliance training modules
UBS - 2 years ago
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We draw on our 150-year heritage to serve private, institutional and corporate clients worldwide, as well as retail clients in Switzerland....