Rules Based Testing Examiner

Charlotte, Miami, Nashville, New York, Philadelphia, Tampa, Weehawken, United States - California, United States - Connecticut, United States - Florida, United States - New Jersey, United States - New York, United States - North Carolina, United States -
$105,000 to $125,000 based on experience, education, and skill level
10 Jan 2023
09 Feb 2023
Approved employers
Approved employer
Job role
Your role
Are you an expert on risk? Do you know how to Identify, analyze and assess regulatory risks?

We're looking for someone like that to:

• support the planning, coordination, and delivery of our annual rules testing program
• maintain a working knowledge of current FINRA, SEC, and state regulatory issues, as well as UBS policies and procedures
• identify and evaluate the effectiveness of existing controls
• prepare detailed work papers to support the results of the testing program
• structure and propose remedial actions to address identified issues
• report identified issues to UBS management
• articulate an independent and balanced opinion in written and oral form

Your team
As examiner with the Global Wealth Management US (GWM US) Rules Based Testing team, a unit within Compliance and Operational Risk Control (C&ORC) you will be responsible for conducting reviews of GWM US's various businesses in order to proactively identify compliance issues and ensure adequate controls are in place to mitigate associated risks. Our team is primarily responsible for conducting testing of GMW US controls, policies, and procedures to ensure they are effectively designed and operating to address the requirements of Laws, Rules, and Regulations impactful to the GWM US business.

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 university degree in finance, economics, business administration or numerical discipline and / or an advanced degree (MBA, JD etc.)
• experience in the financial services industry
• in-house audit and / or compliance testing at a financial institution or examination experience at a financial industry regulator
• knowledge of financial products and services offered by broker dealers
• knowledge of U.S. securities laws & regulations as well as SRO rules
• a great communicator (and you know how to handle challenging situations)
• diligent, conscientious, highly organized, detail-oriented, accurate and able to drive tasks to closure

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?

Salary information
CA, CO, WA and NY based roles: The salary range for this role is $105,000 to $125,000 based on experience, education, and skill level. This role may be eligible for discretionary incentive compensation. For benefits information:

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.

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