Wealth Management Compliance Specialist

Your role
Are you familiar with FINRA regulations, Broker-Dealer activities, and able to provide analysis on the associated suitability, supervision, and conduct risks? Are you able to prepare detailed summaries and executive reports for senior management?
Do you have proven ability to develop and maintain reporting and statistical processes?

We're looking for someone who can:
• Work on various compliance and regulatory matters for our wealth management business in the Americas
• Provide oversight on the execution of the Heightened Supervision framework
• Prepare consolidated reporting and statistics from various Excel spreadsheets and system databases
• Prepare detailed summaries and draft reports for senior management
• Review and update relevant Compliance policies to ensure they reflect current regulatory requirements
• Identify, report and escalate compliance issues and control enhancements

Your team
You will be working as part of our Field Compliance team within Compliance and Operational Risk Control (C&ORC) for UBS Wealth Management USA and LatAm. Our team is responsible for providing independent oversight and control over the consequential risks arising from our business activities at a global, regional, divisional and entity level.

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
• bachelor's degree (or international equivalent) or the comparable experience in finance, wealth management, compliance, audit, supervision, or risk
• working knowledge of US securities industry rules and regulations (e.g., FINRA, SEC, CFTC, NFA)
• ability to work collaboratively with others and have excellent organizational, planning, and time management skills, and are able to drive tasks to closure
• proficiency with Microsoft products (i.e. Word, Excel, Power Point). Additionally, experience with Tableau Software, or automation / robotics is preferred

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.