As a Compliance Analyst covering the UBS Private Bank and UBS Trust Co., you will be working with UBS Private Bank and UBS Trust Co. Compliance Officers to perform the on-going monitoring and testing of the product and services offered by both entities, assisting with projects and assisting with reporting to senior management within Legal & Compliance and senior management of the business.
- On-going monitoring and testing of products and services to ensure compliance with the various consumer banking and trust laws and regulations
- Policies and Procedures - contribute to the updating and maintenance of internal policies and compliance manuals
- On-going monitoring of the changes in laws and regulations. Person will be responsible for reporting updates to compliance and legal colleagues
- Participation in business initiatives
- Additional ad hoc responsibilities will include assisting in the preparation of monthly reports, creating metrics, researching / resolving on-going compliance issues, reviewing exception reports for trending analysis
- Bachelors' degree or higher
- 5-10 years compliance experience in the banking or trust industry
- Strong knowledge of banking laws and regulations, preferably in connection with fiduciary activities
- Knowledge of 12 CFR Part 9 (Fiduciary Activities of National Banks) is a plus
- Excellent writing and communication skills
- Strong organizational skills
- Experience with anti-money laundering laws and regulations a plus.
- Proficient in MS Office particularly Excel, PowerPoint, Word and Access
- Periodic travel, up to 10% per year
UBS - 23 months ago
We draw on our 150-year heritage to serve private, institutional and corporate clients worldwide, as well as retail clients in Switzerland....