Compliance Analyst for WMA Banking & Trust Compliance Group
UBS - Weehawken, NJ

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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.

Key Responsibilities:
  • 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
Qualifications

  • 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 - save job - block
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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....