APAC Supervisory Analyst – Risk & Compliance

UBS

Sydney

On-site

AUD 120,000 - 180,000

Full time

3 days ago

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Job summary

UBS is seeking a Supervisory Analyst in Sydney (APAC). The role focuses on ensuring research complies with regulatory standards and UBS internal policies while collaborating with Legal & Compliance and Research Management to support the Global Research Department.

Ideal candidates bring a current Series 16 license, 3+ years of supervisory experience, and strong communication skills. The team operates across locations, requiring detail orientation, organization, and the ability to work

Qualifications

Current Series 16 license; Series 4 a plus.
Minimum three years’ experience as a Supervisory Analyst.
Experience working on research from multiple groups (equity, fixed income) across regions preferred.
Strong written and verbal communications skills.
Scrupulous attention to detail.
Able to work on time-sensitive research products.
Well-organized and able to cope in a demanding environment.
Collaborative with a close-knit team of Supervisory Analysts in several locations.
Able to conceive and recommend constructive solutions to problems.
Curious to explore AI to improve workflows with sound judgment.

Responsibilities

Ensure research meets legal and regulatory requirements.
Ensure research meets UBS internal policies as specified by Research Management.
Work closely with Legal & Compliance, Research Management, and Research Analysts.