Compliance Specialist, Regulatory Development Tracking
- Recruiter
- UBS
- Location
- Nashville, United States - Tennessee
- Salary
- Competitive salary
- Posted
- 07 Jul 2022
- Closes
- 02 Aug 2022
- Ref
- 246704BR
- Approved employers
- Approved employer
- Job role
- Compliance/risk
- Sector
- Accounting - Public practice
Your role
Are you ready to work in the second line of defense for a top international financial institution? Are you a regulatory rules expert? Can you build relationships and influence outcomes, as well as develop and implement innovative solutions?
We're looking for someone to:
• monitor, assess and track regulatory rule changes
• retrieve regulatory change alerts via the Thomson Reuters Connected Risk (TR Connect) tool
• determine applicability of rules, at a firm level
• notify SMEs, compliance officers and other control functions as appropriate
• work with key impacted SMEs and stakeholders to create an action plan for remediation of any identified gaps
• manage the action plan within the TR Connect tool through completion
• leverage the TR Connect tool to provide reports on the status of implementation or compliance
• disseminate regular and comprehensive internal reports on the status and substance of significant regulatory rule changes
• maintain the inventory of laws, rules and regulations and their mapping to internal policies, procedures and controls
• participate in ad hoc C&ORC projects in order to ensure that regulatory requirements are considered and met
Your team
The C&ORC team is a driven and diverse team of professionals with oversight responsibility for managing the compliance and operational risks arising from UBS' business in the Combined U.S. Operations (CUSO).
You will be working on the U.S. Regulatory Developments Tracking team. We oversee the regulatory change process in the U.S. and Canada and are responsible for tracking the lifecycle of regulatory changes from initial notification of the change, to assessment of its potential impact, to action plan management, which can result in the implementation of new or amended policies, procedures or other internal controls.
Your expertise
• a bachelor's degree or equivalent; or are a recent law school graduate
• ideally 2+ years financial services experience
• experience in a Legal or Compliance department of a financial institution
• understanding of the GRC (Governance, Risk Management and Compliance) framework as it applies to banks
• proficiency in using Microsoft Office, specifically Excel, Visio, and PowerPoint
• ideally, prior experience with U.S. regulations (including but not limited to the Federal Reserve and the Office of Comptroller of the Currency)
• self-starter and solutions-oriented and not easily discouraged
• analytical with the ability to interpret laws, rules and regulations and how they may apply to the firm
• organized and capable of prioritizing based on business demands
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.
Are you ready to work in the second line of defense for a top international financial institution? Are you a regulatory rules expert? Can you build relationships and influence outcomes, as well as develop and implement innovative solutions?
We're looking for someone to:
• monitor, assess and track regulatory rule changes
• retrieve regulatory change alerts via the Thomson Reuters Connected Risk (TR Connect) tool
• determine applicability of rules, at a firm level
• notify SMEs, compliance officers and other control functions as appropriate
• work with key impacted SMEs and stakeholders to create an action plan for remediation of any identified gaps
• manage the action plan within the TR Connect tool through completion
• leverage the TR Connect tool to provide reports on the status of implementation or compliance
• disseminate regular and comprehensive internal reports on the status and substance of significant regulatory rule changes
• maintain the inventory of laws, rules and regulations and their mapping to internal policies, procedures and controls
• participate in ad hoc C&ORC projects in order to ensure that regulatory requirements are considered and met
Your team
The C&ORC team is a driven and diverse team of professionals with oversight responsibility for managing the compliance and operational risks arising from UBS' business in the Combined U.S. Operations (CUSO).
You will be working on the U.S. Regulatory Developments Tracking team. We oversee the regulatory change process in the U.S. and Canada and are responsible for tracking the lifecycle of regulatory changes from initial notification of the change, to assessment of its potential impact, to action plan management, which can result in the implementation of new or amended policies, procedures or other internal controls.
Your expertise
• a bachelor's degree or equivalent; or are a recent law school graduate
• ideally 2+ years financial services experience
• experience in a Legal or Compliance department of a financial institution
• understanding of the GRC (Governance, Risk Management and Compliance) framework as it applies to banks
• proficiency in using Microsoft Office, specifically Excel, Visio, and PowerPoint
• ideally, prior experience with U.S. regulations (including but not limited to the Federal Reserve and the Office of Comptroller of the Currency)
• self-starter and solutions-oriented and not easily discouraged
• analytical with the ability to interpret laws, rules and regulations and how they may apply to the firm
• organized and capable of prioritizing based on business demands
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.