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Form of workAre you interested in banking and the rules which apply 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 UBS Bank USA Compliance Team at UBS Global Wealth Management (GWM), you'll be responsible for helping oversee our business to identify and mitigate potential compliance risks to UBS.
We are looking for someone to assist our Senior Compliance Officers (SCOs) who can:
partner with our business lines to ensure the various components of the Compliance Management System are appropriately designed and working effectively;
develop and maintain working relationships with Business Compliance Analysts, Risk Managers, and Senior Management to ensure that compliance requirements are incorporated into processes at the first line of defense;
provide on-going support, assistance, and credible challenge to business lines on regulatory requirements and the business' creation, on-going review, and updating of their control activities;
report to Compliance management and the business regarding compliance matters related to UBS Bank USA;
improve the analysis of quantitative data sets to uncover insights on topics such as emerging risks, control design and effectiveness, risk tolerance performance, key performance indicators, and key risk indicators; and
contribute to strategy for enhancing the Compliance Risk Assessment and support the annual risk assessment process to evaluate program elements supporting mitigation and remediation.
Your Team:
You will be working with Bank SCOs and the Compliance Monitoring & Testing team, on the UBS Bank USA Compliance and Operational Risk team within the Governance Compliance Regulatory Group (GCRG). The GCRG 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. Our 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. 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 and within operational risk tolerance.
