Compliance Analyst Review
at UBS
Degree Apprenticeship
Finance
London
Review Submitted: February 2023
Overall Rating
3.1 /5
The Overall Rating is the average of all the ratings given in each category. We take those individual ratings and combine them into one final score!
3/5
-
Overview of Role
2/5
-
Skills Development
3/5
-
Structure and Support
Overview of Role
Please give an overview of your role and what this involves on a day-to-day basis:
3/5
My role as a compliance analyst in the Monitoring, Surveillance & Controls function involves carrying out risk controls on the Investment Bank, Wealth Management and Asset Management business divisions and escalating any issues picked up by those controls, for remediation. The risks covered by my team include Market Conduct, Suitability (of products offered to clients), Cross-Border business and Conflicts of Interest.
To what extent do you enjoy your programme?
3/5
The content covered in the programme is very useful for my role at UBS and I have had positive experiences with my academic mentor at Exeter and UBS HR. However, there has been some difficulty in receiving responses to queries from the Uni of Exeter administration team and a significant variation in the quality of teaching by different lecturers.
Skills Development
Have you learnt any new skills or developed existing skills?
2/5
Whilst in the team I have learned more about the business divisions, as my previous role at UBS was in data analytics and was less involved in the specific products/services offered by the business. However, compared to my previous role, I feel I have been given less responsibility and do not get to practice my stakeholder management/communication skills often.
Structure and Support
How well organised/structured is your programme?
2/5
The programme covers a manageable amount of content at one time, however, there have been instances where multiple deadlines/exams have fallen within the same week. As we only have one study day a week, it is difficult to meet all deadlines when they are so close together. There also does not appear to always be communication between the lecturers for different modules e.g. we started one module the week before an external exam and the lecturer did not appear to know that was the case and was apologetic that the lecture was eating into our revision time.
How much support do you receive from your employer?
3/5
UBS HR has been very supportive in escalating queries when Exeter does not respond. We have periodic catch ups with HR and they have suggested ways to provide us additional support in the future. In terms of support from managers, the level of support appears to vary by team, for example, my first manager at UBS was more understanding of study days and the commitment required for completing the degree than my current manager.
How much support do you receive from your training provider when working towards your qualifications?
3/5
We receive ongoing support from our academic mentors at Exeter, with meetings every few months. When I have had questions in between these meetings, I have received prompt responses. In terms of support from lecturers, this has varied depending on who is leading the current module and at times it has been difficult to receive the support needed to complete assignments/pass exams.
How well do you feel that your qualification (through your training provider) helps you to perform better in your role?
3/5
The content covered in the degree apprenticeship helps to a certain extent with completing my role, as I work in compliance and risk, which is covered by the course. The modules also help with expanding my knowledge of finance beyond my role, in particular with specific products offered by UBS, as this does not often come into my daily tasks.
Are there extra-curricular activities to get involved in at your work? (For example, any social activities, sports teams, or even professional networking events.)
4/5
There are many networks at UBS, run by employees, covering activities and initiatives such as Diversity & Inclusion, cultural awareness, chorus singing, netball and many others. There are also networking events, in particular targeted at more junior employees, which I have found useful for meeting colleagues in similar roles to me. I have also benefitted from the UBS apprenticeship network, which enables me to ask questions to apprentices in different teams when I have queries related to my work.
Recommendations & Advice
Would you recommend UBS to a friend?
Yes
Why?
The culture at UBS is very welcoming and there appears to be a significant focus on developing junior talent, which the apprenticeship programme is a part of. As it is a large company, there are also many different teams to explore, so most people would be able to find an area they are interested in.
What tips or advice would you give to others applying to UBS?
Time management is especially important if you are committing to studying alongside your role. The workload can become quite overwhelming and so open communication with your manager is important. I would also suggest using all channels available for support, such as UBS HR, the UBS apprenticeship network and student reps.
