Prime Brokerage and Clearing Compliance Analyst

Hello! Are you passionate about financial compliance and looking for an exciting new opportunity? Look no further! We are currently seeking a highly motivated and detail-oriented individual to join our team as a Prime Brokerage and Clearing Compliance Analyst at UBS. In this role, you will play a crucial part in ensuring that our prime brokerage and clearing operations comply with all relevant laws, regulations, and internal policies. If you have a strong understanding of financial regulations, excellent analytical skills, and a keen eye for detail, we would love to hear from you. Join us at UBS and make a significant impact in the world of compliance.

1. Conduct regular reviews and assessments of prime brokerage and clearing operations to ensure compliance with relevant laws, regulations, and internal policies.
2. Develop and implement compliance policies and procedures for prime brokerage and clearing operations.
3. Stay up-to-date with changes in financial regulations and communicate updates to relevant teams.
4. Collaborate with various stakeholders, including legal and risk management teams, to ensure compliance measures are effectively implemented.
5. Perform risk assessments and identify potential compliance issues, and provide recommendations for corrective actions.
6. Monitor and track regulatory developments and provide guidance to management on potential impacts.
7. Conduct training sessions for employees on compliance policies and procedures.
8. Prepare and submit reports to relevant regulatory bodies as required.
9. Investigate and respond to compliance-related complaints and/or inquiries.
10. Participate in audits and examinations by regulatory bodies and assist in remediation efforts.
11. Maintain accurate and organized records of compliance activities.
12. Identify and implement process improvements to enhance compliance measures.
13. Collaborate with cross-functional teams to ensure compliance with firm-wide policies and procedures.
14. Assist in developing and maintaining relationships with regulatory bodies and industry associations.
15. Communicate regularly with management on compliance issues and potential risks.
16. Maintain confidentiality of sensitive information and adhere to data protection policies.
17. Act as a subject matter expert on financial regulations and provide guidance to colleagues as needed.
18. Participate in special projects related to compliance as assigned by management.
19. Proactively identify areas for improvement and provide recommendations for enhancing compliance processes.
20. Represent the company in a professional manner and uphold the highest ethical standards.

According to JobzMall, the average salary range for a Prime Brokerage and Clearing Compliance Analyst in New York, NY, USA is $70,000 to $100,000. However, this can vary depending on the specific company, experience level, and other factors.

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.