UBS

Compliance Monitoring Specialist

UBS
Nashville, TN, USA
Full-TimeDepends on ExperienceMid-LevelBachelors
Job Description

As the Compliance Monitoring Specialist at UBS, you will play an essential role in ensuring our business and operations comply with applicable regulations and internal standards. In this critical role, you will be responsible for the oversight and review of established controls and processes. To be successful in this position, you must have excellent organizational skills, a keen attention to detail, and the ability to work independently and as part of a team. The ideal candidate will also possess a strong knowledge of applicable regulations and standards, as well as the ability to develop and maintain effective relationships with stakeholders. If you are interested in joining our team and helping us to ensure our business remains compliant, we would love to hear from you.

Responsibilities:

  1. Monitor and review established controls and processes to ensure compliance with applicable regulations and internal standards.
  2. Ensure that all business and operational activities are conducted in accordance with applicable standards.
  3. Develop and maintain relationships with stakeholders to ensure compliance.
  4. Provide guidance and support to staff on compliance matters.
  5. Work closely with legal and audit teams to ensure compliance.
  6. Monitor and analyze regulatory changes to ensure that processes and procedures remain current.
  7. Proactively identify and mitigate compliance risks.
  8. Develop and implement strategies to ensure compliance with regulations.
  9. Investigate and resolve any compliance issues.
  10. Prepare and submit reports to management on compliance matters.
Where is this job?
This job is located at Nashville, TN, USA
Job Qualifications

  • Ability To Work Independently And Collaboratively

  • Strong Organizational Skills

  • Excellent Written And Verbal Communication Skills

  • Strong Knowledge Of Financial Regulations

  • Ability To Manage Multiple Tasks And Prioritize Accordingly

  • High Attention To Detail

  • Ability To Analyse And Interpret Data

  • Knowledge Of Ubs Compliance Policies And Procedures

Required Skills

  • Testing

  • Training

  • Auditing

  • Reporting

  • Documenting

  • Interpreting

  • organizing

  • Monitoring

  • Analyzing

  • Assessing

  • Evaluating

  • Resolving

  • Investigating

  • Compliant

Soft Skills

  • Communication

  • Leadership

  • Problem Solving

  • Time management

  • Interpersonal Skills

  • creativity

  • Organization

  • Critical thinking

  • collaboration

  • Adaptability

Compensation

According to JobzMall, the average salary range for a Compliance Monitoring Specialist in Nashville, TN, USA is between $50,000 and $90,000. Salaries can vary depending on experience, education level, certifications, and other qualifications.

Additional Information
UBS is an Equal Opportunity Employer. We celebrate diversity and are committed to creating an inclusive environment for all employees. We do not discriminate based upon race, religion, color, national origin, sex, sexual orientation, gender identity, age, status as a protected veteran, status as an individual with a disability, or other applicable legally protected characteristics.
Required LanguagesEnglish
Job PostedMay 26th, 2023
Apply BeforeJune 21st, 2025
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About UBS

UBS is a global firm providing financial services in over 50 countries. The company provides wealth management, asset management, and investment banking services for private, corporate, and institutional clients worldwide.

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