United States - New Jersey, United States - North Carolina, United States - Tennessee, United States - Utah

Compliance, Risk

Group Functions

Your role

Are you ready to work in the second line of defense for the top global wealth manager and a $100bn bank? Can you build relationships and influence outcomes, as well as develop and implement innovative solutions? On the Operational Risk Control team at UBS Global Wealth Management (GWM) you’ll be responsible for working with our business to identify and mitigate potential risks to UBS.

• providing challenge to the First Line of Defense’s risk-taking activities and risk assessments
• evaluating new products and initiatives from an operational risk perspective and providing consultation on new initiatives, business objectives, processes, risk events, controls, and/or monitoring
• evaluating and providing an independent view of the operational risk profile of the business, culminating in monthly and quarterly Operational Risk reporting and governance forums
• working across the multiple dimensions of Non-Financial Risk programs and understand how they impact UBS Bank USA and any mitigation required, while building strong relationships with our business/operations stakeholders, IT Risk partners & CDIO stakeholders
• proactively identify risk issues, drive remediation activities and continuously improve cyber and technology risk management by performing and/or assisting with risk assessments, thematic reviews, look across reviews and deep dives, and influencing executives on key operational risks and actions required to mitigate risk
• as needed, developing ad-hoc analysis, deep dive investigations, control testing, and driving specific risk initiatives

Job Reference #

307559BR

City

Nashville, Raleigh, Salt Lake City, Weehawken

Job Type

Full Time

Your team

You will be working with the Bank's Chief Compliance Officer, Senior Compliance Officers (SCOs) and Compliance Monitoring & Testing team, in the Group Compliance, Regulatory & Governance (GCRG) function of UBS Bank USA, based in Salt Lake City, UT and Weehawken, NJ. The GCRG team helps UBS ensure regulatory compliance with applicable consumer protection laws and regulations. You will primarily have regular interaction with business and Compliance partners, senior management in the Business, and partnering with stakeholders from various business and control functions to ensure that the Bank remains in compliance with all applicable banking laws and regulations.

This team sits within the Governance Compliance Regulatory Group (GCRG) which aims to build trust, help safeguard our business, and support controlled growth and strive for new ways to proactively identify and control existing and emerging risks in a rapidly changing and increasingly digital world. The Compliance and Operational Risk (C&ORC) team helps accomplish this by providing independent oversight, challenge and control over the non-financial risks arising from UBS’s business activities across multiple levels to ensure compliance, conduct and operational risks are understood, owned, and managed to the Firm's risk appetite. As part of the second line of defense, Wealth Management Americas Compliance identifies and assesses compliance, regulatory and reputational risk by providing independent oversight and challenge of risks, and establishing independent frameworks for risk assessment, measurement, aggregation, and reporting, protecting against non-compliance with applicable laws and regulations. This team aids in designing and implementing controls, policies, and procedures, implementing compliance training, working closely with independent testing teams, liaising with surveillance, conducting risk assessments, partnering with other parts of the Division on surveillance, investigations and regulatory examinations and inquiries.

Your expertise

• bachelor's degree or higher is preferred
• 7+ years of prior operational risk experience with a financial institution – particularly in banking - or at a regulatory agency or major consulting firm
• experience with digital banking platforms and services including online/mobile deposits and lending, cyber/tech risks, fraud and vendor management, as well as applicable laws/regulations
• ability to drive innovation, implement new practices, and experience interacting with regulators
• successful experience of leadership, both in terms of people as well as projects and initiatives
• strong organizational, analytical, communication and influencing skills- both verbally and in writing
• broad understanding of financial products (including securities, banking products (e.g., deposit accounts, mortgages, loans, etc.), advisory and managed programs) and how they are distributed to individual clients
• professional Certifications (e.g. CIA, CRMA, CISA, CRISC, CISM, CRISC, CISSP, CET, CCSP) are a plus

About us

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.

Join us

At UBS, we embrace flexible ways of working when the role permits. We offer different working arrangements like part-time, job-sharing and hybrid (office and home) working. Our purpose-led culture and global infrastructure help us connect, collaborate, and work together in agile ways to meet all our business needs.

From gaining new experiences in different roles to acquiring fresh knowledge and skills, we know that great work is never done alone. We know that it's our people, with their unique backgrounds, skills, experience levels and interests, who drive our ongoing success. Together we’re more than ourselves. Ready to be part of #teamUBS and make an impact?

Contact Details

UBS Business Solutions SA
UBS Recruiting

Disclaimer / Policy statements

UBS is an Equal Opportunity Employer. We respect and seek to empower each individual and support the diverse cultures, perspectives, skills and experiences within our workforce.