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
- A minimum of 2 years recent work experience as a Control Analyst or related work experience with relevant supervisory, risk or compliance knowledge within a Wealth Management Branch Office of a leading financial services firm required.
- Series 7, 63, 66, 8 or 9 & 10 required.
- Life and Health Insurance licenses required, if supervising this business
- Bachelor's Degree is helpful but not mandatory
- Candidates must be proficient with Microsoft Suite Applications, including Outlook, Word & Excel
- Proven decision making skills a must
- Must be highly motivated with a commitment to succeed
- Ability to leverage resources and delegate effectively
UBS - 2 years ago
We draw on our 150-year heritage to serve private, institutional and corporate clients worldwide, as well as retail clients in Switzerland....