Investment Guidelines Analyst

Investment Compliance & Monitoring: • Ensure portfolios remain within regulatory, contractual, and internal investment restrictions. • Review and investigate post-trade breaches, coordinate resolution with Portfolio Managers, and escalate when necessary. • Conduct pre-trade compliance checks, approving or flagging trades that require further review. Guideline Interpretation & Rule Coding: • Analyze and interpret client investment mandates, regulatory requirements (e.g., UCITS, 1940 Act, SFDR), and internal policies. • Code and maintain investment restrictions in Sentinel or other compliance systems. • Ensure accuracy and efficiency in rule implementation, testing, and documentation. Stakeholder Collaboration & Advisory: • They may be instances when interaction is required with key business stakeholders like Portfolio Managers, Traders, Client Relationship Managers and Compliance teams. • Potentially support due diligence reviews, regulatory inquiries, and client reporting. • Participate in global integration projects, including rule standardization, AI-driven compliance solutions, and process automation. Process Optimization & Project Involvement: • Identify opportunities to enhance automation and efficiency in monitoring activities. • Work closely with technology teams to implement system enhancements and new compliance features

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.