Broker Dealer Regulatory Governance Compliance Specialist
Are you independent, analytical and have strong organizational skills? Do you know how to identify, analyze, and assess regulatory risks?
We're looking for someone like that to:
• assist in the planning, coordination, and delivery of our team's annual review plan
• review and challenge the effectiveness of existing controls as well as investigate potential regulatory violations and control deficiencies
• prepare detailed work papers to support the results of the review program
• structure and propose remedial actions to address identified issues
• report identified issues to our management
• articulate an independent and balanced opinion in written and oral form
• travel (on occasion) although not required during the pandemic
• be motivated, energetic, diligent, conscientious, highly organized, detail-oriented, accurate and able to drive tasks to closure
Our team sits within the Group Compliance Regulatory Governance (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 Investment Bank Divisional Compliance and Operational Risk (C&ORC) team helps accomplish this by providing independent oversight, challenge and control over the non-financial risks arising from our business activities across multiple levels to ensure compliance, conduct and operational risks are understood, owned, and managed to the Firm's risk appetite. You'll be working on the Broker Dealer Regulatory Governance Team (BDRG), a unit within C&ORC. We are focused on the investment bank division and conduct reviews of OUR various businesses to proactively identify compliance issues (e.g., securities laws and broker-dealer rules & regulations, prudential regulations) and ensure adequate controls are in place to mitigate associated risks. We are primarily responsible for conducting institutional branch inspections and performing examinations of our controls and compliance framework in support of CEO and CCO annual certification requirements for the Broker Dealer
Diversity helps us grow, together. That's why we are committed to fostering and advancing diversity, equity, and inclusion. It strengthens our business and brings value to our clients.
• bachelor's degree in finance, economics, business administration or numerical discipline with ideally 2+years of experience in the financial services industryJ.D., M.B.A. or other relevant advanced degree strongly preferred
• in-house audit at a financial institution or examination experience at a financial industry regulator is preferred
• some background or knowledge of financial products and services offered by investment bank as well as U.S. securities laws & regulations as well as SRO rules is preferred
• team-oriented with strong interpersonal skills
• able to work in a fast-paced and dynamic environment, leveraging data analytics and technological capabilities
• possesses sound judgment, curiosity, and can adapt to a changing landscape
• excellent presentation and communication skills with ability to present to and respond effectively to senior internal and external stakeholders
UBS is the world's largest and 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.
With more than 70,000 employees, we have a presence in all major financial centers in more than 50 countries. Do you want to be one of 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.