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Quality Assurance Regulatory Transaction Reporting Specialist

Your role

Do you have an interest in audit / risk control / data analytics areas? Do you know how to work well within a team to develop and deliver solutions? We’re looking for someone like that to:

• Perform an internal audit-type reviews on pre-defined controls that have direct and significant impact on transaction reporting
• Document findings from the above processes in a professional and concise manner
• Complete and communicate results of an independent assessment of controls' effectiveness
• Design and coordinate remediation efforts where needed
• Identify key areas of risk in the reporting process and influence the development of the requisite controls
• Check that material issues and reputation concerns are escalated appropriately in accordance to the internal escalation policy
• Innovate and execute process improvements in the quality assurance area to enhance productivity and efficiency
• Interface with senior management on key risks impacting the Firm’s derivatives reporting
• Stay up-to-date on regulatory requirements and trends

Your team

You will be working in the Transaction Reporting Quality Assurance team. Our aim is to support regional management to ensure that UBS is executing transaction reporting responsibilities in a sustainable and high-quality manner that meets the expectations of regulators. You will be working with the broader Quality Assurance Teams based in London, Zurich, US and APAC and also with various partners across the firm, such as Integrated Middle Office, Regulatory Reporting Teams, Data Management, IT and Compliance. Your role will be to ensure that transaction reporting regulatory requirements across various jurisdictions are understood and adhered to.

Your expertise

• Experience working in heavily regulated environments, preferably in the financial sector
• Excellent analytical, problem-solving skills and a control mentality paired with attention to detail
• Strong written and verbal communication skills
• Ability to multi-task and work both individually and as a part of a Team
• Ability to develop and implement business-wide initiatives
• Aptitude for building relationships and ability to communicate complex issues to a wide array of internal clients with differing levels of product experience
• Knowledge of financial products and international market regulations
• Inquisitive with risk aware mindset


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