UBS · 20 hours ago
Investment Guidelines Monitoring Analyst
Chicago, IL
Full-time
Onsite
Entry, Mid Level
$65K/yr - $80K/yrUBS is a leading global wealth manager and universal bank headquartered in Zurich, Switzerland. The Investment Guidelines Monitoring Analyst will analyze client investment management agreements and collaborate with stakeholders to monitor compliance with investment restrictions.
Asset ManagementBankingFinancial ServicesWealth Management
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
Qualification
Required
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
Analytical mindset with a high level of accuracy and attention to detail
Self-motivated, proactive, and adaptable to changing responsibilities
Company
UBS
UBS is a financial services firm engaged in wealth management, investment banking, asset management, and retail banking.
Founded in 1998
10001+ employees
H1B Sponsorship
UBS has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (8)
2024 (7)
2023 (3)
2022 (6)
2021 (5)
2020 (4)
Funding
Current Stage
Public CompanyTotal Funding
$12.57B2025-11-03Post Ipo Debt· $3.25B
2025-09-09Post Ipo Debt· $1.17B
2024-09-06Post Ipo Debt· $1.5B
Leadership Team
Sergio P. Ermotti
Group Chief Executive Officer
James Walker
Head CTO for Core Technology & Platforms
Recent News
2026-01-05
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2026-01-03
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