Violations Assessment Analyst

New York, New York

This job has expired.

Your new company
A Global Investment Bank

Your new role
UBS is looking for a Violations Assessment Analyst who can:

  • Act as an assessor in accordance with the Firm's Violations Framework Policy
  • Establish and review facts and circumstances of potential policy and/or conduct violations identified by various groups within the firm
  • Determine level of severity of incident based on fact check and documentation
  • Enter violation and all relevant details, taxonomies, and policy breaches in Firm's Case Management Tool
  • Ensure all appropriate documentation is retained in accordance with firm policy
  • Work in conjunction with WM Divisional team and Field management to Issue policy reminders and conduct violations as necessary
What you'll need to succeed
  • College degree ok to have but not required
  • Must be able to multi-tasked, well organized, detail oriented and able to communicate effectively both verbal and written
  • Must have a strong Supervisory/Compliance background
  • 2-3 years or more of financial experience
What you'll get in return
Together. That is how we do things. We offer talented people around the world a supportive, stimulating, and diverse working environment. We will value your passion and commitment. And reward your performance. You will get the chance to work for a very well-respected global brand as well as start a contract position with a chance of extension.

What you need to do now
If you're interested in this role, click 'apply now' to forward an up-to-date copy of your CV, or call us now.
If this job isn't quite right for you but you are looking for a new position, please contact us for a confidential discussion on your career. #1150172

This job has expired.


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