Your role

Key Responsibilities

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• 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.

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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.

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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.

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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.

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