Do you have analytical skills? Are you a stickler for getting things right?

We are looking an Investment Guideline Monitoring Specialist to :

•interpretation and implementation of investment guidelines and restrictions in multiple compliance systems and daily monitoring of investment portfolios against the guidelines
•implement and test rules in internal systems, coordinate implementation performed by external service provider using their compliance monitoring system
•identify and investigate alerts and data exceptions from automated and manually restrict-ed investment guidelines, restrictions and regulatory rules
•analyze test logic and data points for coding compliance rules
•participate in client portfolios on-boarding and change process
•perform rules, procedures, and key controls reviews
•take ownership of tactical and strategic initiatives which help elevate the effectiveness and efficiencies of IGM by improving systems, data sources and/or data quality
provide management information systems reporting to senior management and business partners on a regular basis

Job Reference #

313465BR

City

New York

Job Type

Full Time

Your Career Comeback

We are open to applications from career returners. Find out more about our program on ubs.com/careercomeback.

Your team

Our US business manages primarily alternative investments with non-investment grade credit which invests in public and private loans and CLOs being the largest strategy. Our clients are Institutions including Pension Plans, Endowments and Sovereign Funds. The Investment Guide-lines Monitoring (IGM) team monitors adherence to client investment guidelines and restrictions and applicable local and regional regulatory rules. The team is responsible for coding investment guidelines in multiple IGM systems with a combination of data parameters related to securities, issuers, accounts, positions, transactions and counterparties. Examples of rules include concentration, restrictions on particular companies, industries, or countries, gross and net exposure and leverage.

Your expertise

•bachelor’s degree and 2-5 years of experience in Financial Industry, Asset Management experience preferred
•product and functional knowledge of various instrument types including Credit, FX and derivatives, registered & private funds and separately managed accounts markets
•understanding of credit agreement, portfolio Indenture, Prospectus, IMA is helpful but not required
•experience and knowledge of specific regulatory compliance rules for Asset Manage-ment - A Big Plus
•experience with trading and order management and compliance systems is preferred; examples include, but not limited to, Charles River IMS, Allvue Black Mountain System (BMS), Aladdin by Blackrock, LatentZero Sentinel, Wall Street Office (WSO), CDO Suite, Deloitte Solvas, and Advent Geneva
•knowledge of interrelationships with counterparties, custodians, trustees and service providers
•experience in translating business and application requirements into technical terms is helpful but not required

About us

UBS is the world’s largest and the only truly global wealth manager. We operate through four business divisions: Global Wealth Management, Personal & Corporate Banking, Asset Management and the Investment Bank. Our global reach and the breadth of our expertise set us apart from our competitors..

We have a presence in all major financial centers in more than 50 countries.

Join us

At UBS, we embrace flexible ways of working when the role permits. We offer different working arrangements like part-time, job-sharing and hybrid (office and home) working. Our purpose-led culture and global infrastructure help us connect, collaborate, and work together in agile ways to meet all our business needs.

From gaining new experiences in different roles to acquiring fresh knowledge and skills, we know that great work is never done alone. We know that it's our people, with their unique backgrounds, skills, experience levels and interests, who drive our ongoing success. Together we’re more than ourselves. Ready to be part of #teamUBS and make an impact?

Disclaimer / Policy statements

UBS is an Equal Opportunity Employer. We respect and seek to empower each individual and support the diverse cultures, perspectives, skills and experiences within our workforce.