United States - New Jersey, United States - New York, United States - North Carolina

Compliance, Risk

Group Functions

Your role

Are you ready to work in the second line of defense for the top global wealth manager? Can you build relationships to effectively evaluate risks of UBS Global Wealth Management (GWM) business processes and platforms, influence outcomes, and support innovative solutions? As part of the Operational Risk Control (ORC) team aligned to GWM, you’ll be responsible for working with our US broker dealer business to identify and mitigate potential operational risks to UBS. We are looking for an experienced Operational Risk Controller to:

•review and challenge the First Line of Defense’s risk-taking activities and risk assessments, with emphasis on the strategic growth areas of the business and technology change portfolio.
•evaluate new products and services from an operational risk perspective front-to-back and provide consultation on change initiatives, business objectives, processes, risk events, and controls.
•provide independent views on the Non-Financial Risk (NFR) profile of GWM US through regular reporting input and governance forums, ensuring transparent oversight of key risks and required mitigation.
•proactively identify risk issues, drive remediation activities, and continuously improve Non-financial Risk (NFR) management by performing/supporting risk assessments, deep dives, and thematic reviews, particularly on ORC taxonomies (e.g., transaction processing and execution, cyber and information security, technology stability, and resilience).
•execute the quarterly Risk Control Self-Assessment (RCSA) review and challenge process, bi-annual key procedural control instance (KPCI) assessments, control validation, and drive specific risk activities as needed.
•build and maintain constructive relationships with colleagues and relevant stakeholders at all levels to ensure effective risk management across the dynamic GWM US businesses.

Detailed salary information:
• Weehawken, New York: the salary range for this role is $176000 to $229000
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. For benefits information, please visit ubs.com/usbenefits.

Job Reference #

325563BR

City

New York, Raleigh, Weehawken

Job Type

Full Time

Your Career Comeback

We are open to applications from career returners. Find out more about our program on ubs.com/careercomeback.

Your team

You will be part of a team of Operational Risk Control professionals. This team sits within Group Compliance, Regulatory & Governance (GCRG), which aims to build trust, help safeguard our business, 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. This team aids in designing and implementing controls, policies, and procedures, implementing operational risk training, working closely with independent testing teams, and conducting 2LoD independent risk assessments.

Your expertise

•Bachelor's degree or higher is preferred.
•ideally 7+ years of operational risk experience with a financial institution, in second line of defense- operational risk control, first line of defense- business risk for a Wealth Manager or third line of defense -audit
•experience with assessing operational risk impact of digital execution platforms and services changes, AI solutions, and large-scale front-to-back technology changes from order entry to trade settlement and reporting.
•expertise in reviewing business processes, systems, and controls for cyber risks and resilience.
•ability to drive innovation, implement new practices, and experience interacting with regulators.
•proven leadership experience in managing projects and initiatives.
•strong organizational, analytical, communication, and influencing skills - both verbally and in writing.
•broad understanding of financial products (including securities, derivatives, 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.

Salary information

US Only: The expected salary range for this role is $176000 to $229000 based on factors including, but not limited to, experience, qualifications, education, location and skill level. Please see «Your role» section for detailed salary information.

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?

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.