Compliance and Operational Risk Control Specialist

Our client, a large global Investment Bank, is looking to hire Compliance & ORC Specialist.

Compliance & Operational Risk Control Specialist

Role: Compliance & Operational Risk Control Specialist
Location: Nashville, TN
Duration: 6 months
Rate: up to $43 /Hour

Your New Company
An established global Investment Bank with presence in Nashville, TN . You will be working with global teams, with the chance to add a prestigious, known name to your resume.

Your New Role
The Shareholder Reporting unit is responsible for analyzing global holdings and for discharging the obligation to comply with the regulatory shareholder reporting. This role encompasses assessing and analyzing global holdings in issuers regulated in the assigned jurisdictions and/or reporting rules in order to comply with legal and regulatory requirements of the various jurisdictions and reporting rules covered.

The Regulatory Reporting Analyst will be required to juggle a variety of demands and be able to effectively liaise with staff outside the team, such as Equity traders, in-house legal counsel and IT specialists as well as work effectively with colleagues in all three global business units on a day-to-day basis. Additional responsibilities include the following,

1. Analysis of UBS’ Shareholdings and Reporting –

  • Analyze and assess the obligation to disclose shareholdings shown in the assigned jurisdictions and per the assigned rules.
  • Prepare the relevant disclosures for sign-off in a timely manner to allow for the review and sign-off ahead of the regulatory deadline; ensure timely submission of the disclosures.
  • Ensure that the supporting documentation to the disclosure decision is complete and accurate.
  • Maintain up to date and detailed knowledge of the various rules and regulations on shareholder reporting obligations in the assigned jurisdictions.
  • Potentially create and update holding rules and reporting rules in the Shareholder Reporting unit’s systems used for disclosure purposes; ensure that existing holdings rules are valid, accurate and up to date.
2. Team and Processes Effectiveness -
  • Identify, analyze, escalate and resolve issues as appropriate.
  • Actively seek out and escalate opportunities for improvement of processes and procedures.
  • Adhere to agreed global processes and working methodologies.
  • Provide assistance to the Shareholder Reporting unit’s central team by performing any testing and tasks as requested.
  • Establish and maintain good relationships with regulators, exchanges, and other areas within the bank, Shareholder Reporting unit’s colleagues based in other jurisdictions and colleagues from our service provider based in India.
  • Ensure that the processes performed within your role are formally described and documented and that they are valid, accurate and up to date.
  • Continuously develop knowledge of Equities products, the Shareholder Reporting unit’s system and source systems feeding into the Shareholder Reporting unit.
  • Ensure that the files and disclosures prepared are properly archived.

   What You'll Need to Succeed
  • A bachelor degree
  • 1+ years of Compliance experience and/or prior Banking experience is an advantage.
  • Demonstration of a strong interest in working in the compliance department of an international financial institution is necessary.
  • Good knowledge of financial markets, Banking Industry and products.
  • Strong technical skills (i.e. Excel)

What You'll get in Return  
You will get the chance to work for a very well respected global brand as well as start a contract position with a chance of extension.

If you're available and interested in this role, please apply directly as soon as you can attaching your updated resume and hourly rate requirement.


Job type:
Banking & Financial Services
Accounting and Finance
Up to 42/Hour
Closing date
Thu Dec 27 11:59:59 GMT 2018
Apply Now

Talk to a consultant

Talk to Afza Musa, the specialist consultant managing this position, located in Tampa - Head Office

Suite 900, 4300 West Cypress St, Tampa, Florida, FL 33607

Telephone: 9053664542

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