Investment Compliance Specialist

2 days ago

Sydney, New South Wales, Australia beBeeInvestment Full time $100,000 - $150,000
Compliance Analyst - Investment Suitability

The Compliance Control Analyst plays a vital role in enhancing the effectiveness of business-critical processes and controls to safeguard UBS.

  • Drive or work as a team member on investment suitability and cross-border controls review and testing of UBS Global Wealth Management division.
  • Analyze and assess risks arising from both the business and support functions.
  • Identify and evaluate the design, implementation, and effectiveness of controls designed to address those risks.
  • Document and communicate review findings, root causes, and risks, and prepare reports of reviews for UBS senior management.
  • Develop recommendations for items that solution owners should consider when finalizing their action plans.
  • Review remediation actions submitted by the business for closure to assess whether these have addressed the original risks.
  • Successfully collaborate with peers in and across Group Compliance, Regulatory, and Governance.

You will work in GWM Monitoring & Surveillance based in Sydney. This is an independent function within the 2nd line of defense, supporting Group Compliance, Regulatory, and Governance in achieving its strategic, operational, financial, and compliance objectives.

Our team is responsible for reviewing compliance controls specific to investment suitability and cross-border. In your role, you will cover reviews related to the GWM division.

Key Responsibilities
  • Strong analytical skills and quantitative approach to problem-solving.
  • Able to quickly understand complex processes and challenge the status quo, identifying risks and inadequacies in procedures.
  • Willingness to keep up with industry, regulatory developments, and learn new concepts and methods.
  • Ability to effectively communicate with senior stakeholders.
  • Risk-focused, and capable of using data analytics to gain insights into business trends and identifying outliers.
Qualifications
  • 3-4 years experience in external or internal audit or compliance controls testing within the financial industry.

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