Client Related Conduct Suitability Analyst


Company Type


Your role

Do you have a passion for compiling and analyzing financial data and related information to solve varying and complex suitability and conflicts of interest related issues? Are you able to manage complex and varied projects in an efficient and effective manner? Do you enjoy collaborating with colleagues to obtain information and solve problems? We're looking for someone who can:

  • interview and challenge business area personnel, evaluate and challenge policies and procedures, compile and perform data analysis, and conduct risk-based monitoring and testing pursuant to a pre-defined program
  • prepare presentations and deliver to supervisory teams, home office legal / compliance professionals and business personnel to resolve risks identified by the team
  • support Management with development and execution of various change projects
  • analyze exception-based monitoring reports for potential violations.
  • ensure compliance with regulatory and Firm policies and procedures.
  • use Firm systems to review relevant activity
  • perform reviews in a timely manner.
  • investigate and escalate issues as necessary and document the resolution and any corrective action taken.
  • interact with divisionally aligned Legal and Compliance staff and other business areas to discuss, progress, and resolve issues arising from the monitoring program.
  • identify patterns and contribute to management reports for statistics and appropriate escalation of significant issues and accomplishments.
  • mitigate risk, by alerting management when an existing control is not working and/or when you see that there is room for improvement.
  • design, test, and implement new controls as the need arises.

Your team

You will be working as part of the Monitoring, Surveillance & Controls team in Nashville. This team is a second line control function, with oversight of the first line business processes.

Your expertise

  • a Bachelors' degree or higher in a financial/banking related field (finance, economics, business, etc.); candidates with financial related experience will be considered in lieu of a bachelors' degree in a related field
  • background in financial services with a strong understanding of financial markets, products and services is desired. Industry licensing a plus.
  • an understanding of regulatory rules as they pertain to the financial industry is beneficial
  • strong written and communication skills
  • a self-starter with a positive attitude and enjoy learning independently, with proper guidance and oversight
  • willing to work in a challenging environment and are result-oriented and assertive
  • able to collaborate and communicate well with employees of different levels, including those of higher ranks
  • reliable and resilient (challenging situations and conversations do not hinder performance)
  • organized, reliable, and resilient; capable of dealing with multiple projects simultaneously to meet deadlines
  • LI-UBS

About us

Expert advice. Wealth management. Investment banking. Asset management. Retail banking in Switzerland. And all the support functions. That's what we do. And we do it for private and institutional clients as well as corporations around the world.

We are about 60,000 employees in all major financial centers, in more than 50 countries. Do you want to be one of us?

Join us

We're a truly global, collaborative and friendly group of people. Having a diverse, inclusive and respectful workplace is important to us. And we support your career development, internal mobility and work-life balance. If this sounds interesting, apply now.

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.

Client Related Conduct Suitability Analyst | UBS - Experienced professionals - job boards

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Confirmed 10 hours ago. Posted 30+ days ago.

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