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Global Markets Regulatory Reporting And Surveillance Analyst

Company

UBS
Address , New York, Ny
Employment type FULL_TIME
Salary $88,750 - $106,250 a year
Expires 2023-07-23
Posted at 11 months ago
Job Description
United States - New York
Investment Banking
Investment Bank

Job Reference #

275948BR

City

New York

Job Type

Full Time

Your role

Are you detail oriented even when multitasking? Are you interested in trading products as well as regulatory requirements? Are you inquisitive with an analytical and risk-aware mind-set? We are looking for someone like that to help us:
  • Work closely with Technology staff on daily processes including efforts to improve reporting quality and address CAT errors within a prescribed regulatory timeframe.
  • Perform analysis to identify trends and anomalies that may impact compliance with CAT reporting.
  • Monitor and interact with other Industry Members in the investigation and resolution of CAT inter firm mismatches.
  • Conduct and document monitoring reviews to assess compliance with regulations applicable to Global Markets.
  • Lead integral governance efforts and develop Management Information (MI) to assist in the Firm’s compliance efforts.
  • Support senior staff in researching and responding to regulatory requests.
  • Track, analyze, and document outcomes as part of the Firm’s CAT error handling obligations.
  • Ensure completeness, accuracy, and timeliness requirements for CAT reporting.
  • Support ongoing regulatory reporting requirements, focused primarily on the Consolidated Audit Trail (CAT) requirements.
  • Investigate and resolve exceptions based on daily feedback on CAT submissions.

Your team

You'll be working in the Global Markets Regulatory Risk Management team. We are a Front Office function focused on ensuring necessary processes exist to support compliance with relevant securities laws, rules, regulations, and internal policies. We work with a number of internal areas, including Sales and Trading, COO, Operations, Compliance & Operational Risk Control, and IT.

Your expertise

  • Knowledge of equities products and trade flows, with a focus on trading systems and reporting processes.
  • Familiarity with FIX protocol is preferable.
  • Knowledge of investment bank products, trade life cycle, and trade booking models preferable.
  • Experience in Compliance, Operational Risk and Control, Operations, or Technology areas in the financial services industry preferred.
  • Able to apply a technical understanding to data in order solve for complex problems.
  • Financial Industry experience with expertise with the Consolidated Audit Trail (“CAT”) regulatory reporting obligations.
  • Able to manage high volumes of client requests and identify resources required to complete tasks to a high standard.
  • Innovative in your approach to solving day-to-day process problems.
  • Team-oriented, while able to complete tasks independently.
  • A risk and control mind set, with solid communication skills, drive and commitment.
  • Strong Excel as well as analytical and problem-solving skills across large data sets.
  • A degree in any discipline will be considered, but preferably in Finance / Economics / Business Management / Business Analytics.

About us

UBS is the world’s largest and only truly global wealth manager. We operate through four business divisions: Global Wealth Management, Personal & Corporate Banking, Asset Management and the Investment Bank. Our global reach and the breadth of our expertise set us apart from our competitors.
With more than 70,000 employees, we have a presence in all major financial centers in more than 50 countries. Do you want to be one of us?

Salary information

CA, CO, WA and NY based roles: The salary range for this role is $88,750 to $106,250 based on experience, education, and skill level. This role may be eligible for discretionary incentive compensation. For benefits information: ubs.com/usbenefits.

Join us

At UBS, we embrace flexible ways of working when the role permits. We offer different working arrangements like part-time, job-sharing and hybrid (office and home) working. Our purpose-led culture and global infrastructure help us connect, collaborate, and work together in agile ways to meet all our business needs.
From gaining new experiences in different roles to acquiring fresh knowledge and skills, we know that great work is never done alone. We know that it's our people, with their unique backgrounds, skills, experience levels and interests, who drive our ongoing success. Together we’re more than ourselves. Ready to be part of #teamUBS and make an impact?

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.