Equities Regulatory Reporting and Surveillance Analyst

  • Competitive
  • Nashville, TN, USA Nashville TN US
  • Festanstellung, Vollzeit
  • UBS
  • 16 Sep 18 2018-09-16

Equities Regulatory Reporting and Surveillance Analyst



Your role
Are you detail oriented even when multitasking? Are you interested in trading products as well as regulatory requirements? Are you inquisitive with analytical and risk-aware mind-set? We are looking for someone like that to help us:

- conduct monitoring and analysis to ensure completeness, accuracy and timeliness requirements for regulatory reporting for the U.S. equity division.
- assisting in the review of day to day control processes for U.S. trade and transaction reporting obligations such as OATS, TRF (i.e. ACT), 605/606, TRACE, and LOPR.
- escalate and participate in the resolution of issues impacting regulatory reporting.
- work as part of the team on upcoming regulatory and process changes to ensure reporting continues successfully.
- support senior staff in researching and responding to regulatory requests.
- help develop and/or modify surveillance reports related to the Equities business
- conduct and document monitoring reviews to assess compliance with applicable regulations.
- assist in the investigation and response to regulatory inquiries and exams.

Your team
You'll be working in the Equities Regulatory Risk Management team. We are an Equities 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 Equities Sales and Trading, COO, Operations, Compliance & Operational Risk Control, and IT.

What we offer
Together. That's how we do things. We offer people around the world a supportive, challenging and diverse working environment. We value your passion and commitment, and reward your performance.

Take the next step
Are you truly collaborative? Succeeding at UBS means respecting, understanding and trusting colleagues and clients. Challenging others and being challenged in return. Being passionate about what you do. Driving yourself forward, always wanting to do things the right way. Does that sound like you? Then you have the right stuff to join us. Apply now.

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?