Director - Taxonomy - UBS - Tennessee

Description

Description UBS is actively recruiting for a Director, Taxonomy Lead to join our growing Nashville Business Solutions Center. As part of the Compliance and Operational Risk Control (C&ORC) function, the Monitoring, Surveillance & Controls team (MSC) provides an effective and comprehensive monitoring and surveillance capability in key risk areas by:


• Performing risk based monitoring and surveillance activities to supplement the supervisory controls performed by the business
• Deploying monitoring & surveillance capabilities to proactively identify and detect relevant policy breaches and suspicious patterns around critical risk taxonomies.
• Working closely with other functional C&ORC teams such as Conduct Risk, Financial Crime and the Business Aligned Control teams to perform its function effectively

We are looking for Nashville, TN based employee to lead the Regional MSC team for Client Related Conflicts of Interest, implement the surveillance program and ensure that the regional program is in line with the global MSC strategy.

Key Responsibilities

• Lead a team of compliance analysts and attract, develop and retain talent through regular discussions with direct reports on career development. Provide challenging opportunities for staff throughout their careers and foster a culture to help position UBS as an Employer of Choice

• Investigate system alerts and choose appropriate course of action(s). This may involve; a) carrying out additional investigation work with analytical tools b) working with HR / Employee Relations c) liaising with line managers (employee supervisors) or d) other C&ORC employees

• Maintain statistics and contribute to management reports for appropriate escalation of significant issues and accomplishments.

• Manage and foster relationships with key Business, Risk, and Technology partners across divisions, functions and countries; ensure expectations are met, obstacles are addressed, and relationships are proactively managed.

• Collate information on emerging themes, issues, regulations, laws, etc. in order to understand the relevant actions which need to be taken, and ensure that the regional program is in line with the Global MS&C strategy for the taxonomy

• Oversee the global and regional implementation of remediation and change initiatives for relevant taxonomy (e.g. gap analysis, remediation where relevant) and the standardization of the associated activities.

• Participate on relevant global working groups / boards to help define the global monitoring strategy for the taxonomy, in line with the global MS&C standards and global taxonomy control objectives.

• Oversee the global and regional implementation of remediation and change initiatives for this taxonomy.

• Conduct regular assessments as it relates to the design and effectiveness of the relevant monitoring program identifying changes in business activities, changes to external drivers, gaps, efficiency ideas and consideration for future program enhancements

• Contributing to strategic department projects including assisting in global and regional initiatives run out of the Monitoring, Surveillance & Controls organization

Basic Qualifications

• Bachelor’s degree with 10+ years of proven relevant work experience such as compliance, legal, regulatory or other related experience such as risk management, audit, examination, or similar control-related experience.

• An understanding of the regulatory environment and expectations, FINRA / SEC / FED rules and guidance together with other relevant regulations

• Display strong leadership ability across all levels coupled with effective problem solving, conceptual thinking, quantitative and analytical skills.

• Highly detail-oriented with ability to evaluate different, complex situations and make appropriate and timely decisions.

• Team-oriented with strong interpersonal skills, ability to manage conflict and deal with pressure in a positive manner.

• Strong management skills and ability to develop talent

• Series 7 license preferred

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