Control Analyst

UBS is a leading global financial services firm. Global Wealth Management & Business Banking offers sophisticated wealth management services and personalized advice to help our clients achieve their financial goals. We are the world's leading wealth management business, Switzerland's leading retail and commercial bank, and one of the biggest private client businesses in the USA. By combining your talent with our strength, we can achieve great results.

Your job as a successful Branch Control Analyst at UBS GWM&BB is to be responsible for overseeing all risk and control activities for UBS-Private Wealth Management branch and will report locally into the Administrative Manager. The Control Analyst will interact closely with the UBS home office DCO as well as the Risk and Compliance and Legal Functions in the region.
As a Control Analyst, you will be responsible for managing Compliance, Legal and Regulatory Matters in the branch: <

Anticipate Risk - Keep up-to-date with FAs; monitor daily activity for compliance; communicate policies to Branch staff to uphold rules and regulations of the Firm and regulatory agencies; stay aware of new, frequent, and complex changes; assist BOM with sales responsibilities and the development of Branch policies, procedures, and standards; follow self-audit procedures of Branch; keep others informed of potential problems and actions taken to circumvent or remedy them.

Control Risk - Review daily trade tickets, trade monitor, and quarantined email; surface issues to BOM; review documents regularly (e.g., outgoing correspondence and mail, new accounts, client requests and complaints); monitor legal and Human Resources risks and assist BOM with resolving potential issues; complete monthly compliance reports; approve error corrections, prepayments, extension requests, and waivers of proof of ownership; ensure proper registration; collaborate with Asset Protection for pre-trade and pre-hire.-Ensure efficient Compliance policy and Control initiative rollouts

Monitor branch Credit and Margin Activities

Risk Assessments and Analysis

Continuously review and evaluate overall branch risk management situation

Ensure that adequate risk management reporting is in place and respective actions are initiated based on major findings

Support branch management and Financial Advisors for risk management related responsibilities, and initiates respective actions

Ensure that all significant risk management issues are included on branch management meeting agendas

Continuously promote risk awareness, training, and information for branch staff

We can offer you an exciting, fast-paced working environment, a culture of mutual respect and commitment to maintaining the highest ethical standards and the opportunity to play a vital role in our growth.

If you are attracted to joining an organization where every individual's contribution counts and where your talent will impact on our future, please apply for this position. It starts with you.

UBS is an equal opportunity employer. We respect and seek to empower each individual and the diverse cultures, perspectives, skills and experiences within our workforce.