Description

Job Reference #
325691BR

Business Divisions
Asset Management

Your role
Key Responsibilities
• Analyze client investment management agreements, product documentation, and prospectuses to extract relevant investment restrictions.
• Collaborate with business stakeholders to define and agree on monitoring requirements for client and UBS product guidelines.
• Interpret and accurately code investment restrictions into our compliance system (Sentinel).
• Respond to business inquiries related to investment restrictions and compliance monitoring.
• Conduct daily pre- and post-trade monitoring of investment guideline incidents using Sentinel.
• Investigate and escalate potential breaches to appropriate business units.
• Support the development of surveillance processes for guidelines not covered by automated systems.
• Contribute to the creation and maintenance of procedures and controls for global guideline monitoring.
• Maintain and update compliance systems throughout implementation and beyond.

Detailed salary information:
• Chicago: the salary range for this role is $70000 to $90000
The expected salary range(s) for this role as of the date of this posting is/are based on factors including, but not limited to, experience, qualifications, education, location and skill level. This role may also be eligible for discretionary incentive compensation. For benefits information, please visit ubs.com/usbenefits.

Title
Investment Guidelines Monitoring Analyst

City
Chicago

Job Type
Full Time

Country / State
United States - Illinois

Function Category
Operations

Join us
At UBS, we know that it's our people, with their diverse skills, experiences and backgrounds, who drive our ongoing success. We're dedicated to our craft and passionate about putting our people first, with new challenges, a supportive team, opportunities to grow and flexible working options when possible. Our inclusive culture brings out the best in our employees, wherever they are on their career journey. We also recognize that great work is never done alone. That's why collaboration is at the heart of everything we do. Because together, we're more than ourselves.

We're committed to disability inclusion and if you need reasonable accommodation/adjustments throughout our recruitment process, you can always contact us.

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.

Your team
You'll be part of the IGM team based in Chicago, working closely with global colleagues across Portfolio Management, Client Relationship Management, Product Management, Operations, IT, Compliance, and Risk. The team ensures timely onboarding of accounts, accurate guideline coding, and effective monitoring using Sentinel, a third-party compliance platform.

Your expertise
• Prior experience in Asset Management or a related financial services environment is preferred.
• Bachelor's degree or professional qualification in Accounting, Finance, or Law.
• Familiarity with compliance systems such as Sentinel, SimCorp Compliance, Charles River, or MIG21.
• Proficiency in Excel (including VBA and Macros); SQL knowledge is a plus.
• Strong understanding of financial instruments and their characteristics.
• Ability to work effectively under pressure in a global team environment.
• Excellent interpersonal and communication skills, including remote collaboration.
• Analytical mindset with a high level of accuracy and attention to detail.
• Self-motivated, proactive, and adaptable to changing responsibilities.

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.

How we hire
We may request you to complete one or more assessments during the application process. Learn more

Salary information
US Only: The expected salary range for this role is $70000 to $90000 based on factors including, but not limited to, experience, qualifications, education, location and skill level. Please see «Your role» section for detailed salary information.



Requisition #: 325691BR

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