Compliance Officer

Your role
Do you have experience in providing compliance or risk advisory services to a business division? Do you enjoy advising and supporting front office colleagues to ensure compliance? Are you confident when it comes to speaking up for what is right and challenging at all levels?
• assist with the implementation of new regulatory requirements related to Employee Retirement Income Security Act (ERISA) and IRA requirements
• support the investment advisory business, including the retirement business, in remaining compliant within the regulatory environment and managing their risk
• drive the identification, assessment, measurement, mitigation and monitoring of compliance and operational risk as it pertains to the Wealth Management US business
• deliver independent risk assessment and reports that shed light on our risk profile, including supporting the Chief Compliance Officer (CCO) to the business and administering the Compliance program
• provide business management with controls, tools, training, frameworks, information and insights required for them to manage risk

Your team
You'll be working in the Wealth Management US aligned Compliance and Operational Risk Control (C&ORC) team in Weehawken, NJ. We support the Wealth Management US business by partnering with them to effectively manage regulatory risk in an environment of collaboration and constructive challenge. Our duties include implementing the Operational Risk Framework and to ensure regulatory and operational risks are identified, properly assessed and recorded. You'll play an important role in helping us administering the Compliance program and developing risk mitigating measures, controls and adequate remediation plans are in place. You'll also collaborate with global colleagues to ensure that best practices are being shared around the region/globe.

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
• Ideally5+ years of proven financial services compliance or risk advisory experience
• strong knowledge of investment adviser, broker-dealer, ERISA and IRA regulatory frameworks and know-how in the analysis of business processes
• good working knowledge of the local regulatory environment as it pertains to the Wealth Management business
• verify aspects of commercial and operational arrangements within the business and challenge documentation with an independent mindset
• strong analytical and problem-solving skills, collaborate across the organization, influence key stakeholders, and driving change

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.