Sydney, Australia
16 hours ago
Compliance Control Analyst – Investment Suitability & Cross Border
Are you a sharp evaluator of risk? Can you investigate complex solutions? Do you want to play a key role in improving the effectiveness of business-critical processes and controls to help safeguard and strengthen UBS?

We're looking for a compliance controls testing analyst who can:
- drive or work as a team member on investment suitability and cross border controls review and testing of UBS Global Wealth Management (GWM) division
- analyse 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 (GCRG)
- develop and maintain relationships with stakeholders as well as senior management
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