Compliance Program Specialist

Your role
Are you ready to work in the second line of defense for the top global wealth manager at a large retail bank? Are you ready to support our culture of compliance and risk mitigation, and are you someone who likes to do the right thing? Can you maintain independence and objectivity, as well as build relationships and influence outcomes?

As the Compliance Program Specialist covering UBS Bank USA, you will contribute to the Compliance function through collaboration with the Chief Compliance Officer, Bank Compliance Officers, business partners, and management to ensure that we remain in compliance with all applicable banking laws and regulations. Specifically, you will:

• support the oversight and management of our Compliance Program, including compliance testing, corrective actions, compliance training, complaints, and regulatory changes
• act as a liaison and subject matter expert between our Compliance Officers and the Compliance Monitoring & Testing team for questions related to consumer banking compliance laws and regulations
• assist with the creation and completion of our Compliance Management System components, including compliance testing, training schedules, annual compliance risk assessments, and leadership reporting
• navigate our remediation efforts, escalation resolutions, and track ongoing regulatory changes that may impact us
• collaborate with leadership and management in researching and responding to regulatory examination and internal audit requests
• partner with the Deputy CCO, CCO, Bank Compliance Officers and Operational Risk Controllers in compliance analysis, program developments, and new business initiatives

Your team
You will be working with the Bank Compliance Officers (BCOs) and the 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. We help ensure regulatory compliance with applicable consumer protection laws and regulations.

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.

Your expertise
• a Bachelor's degree or international equivalent
• ideally 5+ years compliance experience in the banking and financial industry
• strong knowledge of banking laws and regulations, specifically Consumer Financial Protection Bureau (CFPB) and Federal Deposit Insurance corporation (FDIC) laws and regulations, Regulation B (Equal Credit Opportunity Act), Regulation V (Fair Credit Reporting Act), Regulation Z (Truth in Lending Act), and Compliance Management System expectations
• excellent writing, communication, and organizational skills
• certified Regulatory Compliance Manager ("CRCM") is a plus
• analytical, with the ability to provide practical solutions and thought leadership
• result-oriented, with strong interpersonal skills and able to calmly manage conflict and pressure in a demanding, high-volume environment
• strong and sound judgement and able to articulate views, assessments, and approaches both verbally and in writing precisely, concisely, logically and accurately
• able to be flexible and capable of balancing and prioritizing a diverse workload based on changing internal or external demands, including periodic travel, up to 10% per year



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About us
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?

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.