Compliance Specialist - Affiliate Oversight
- Recruiter
- UBS
- Location
- Nashville, Salt Lake City, Weehawken, United States - New Jersey, United States - Tennessee, United States - Utah
- Salary
- Competitive salary
- Posted
- 29 Jan 2023
- Closes
- 28 Feb 2023
- Ref
- 265464BR
- 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 the top global wealth manager and a large retail bank? Can you build relationships and influence outcomes, as well as develop and implement innovative solutions?
As a Compliance Specialist covering UBS Bank USA, you will contribute to the compliance through supporting the execution of the compliance program across our product areas. This will include regular interaction with business partners, senior management and compliance officers at UBS Bank USA, and partnering with stakeholders from various business and control functions to ensure that we remain in compliance with all applicable banking laws and regulations and within operational risk tolerance.
The successful candidate will be responsible for:
• assisting the compliance team with development and implementation of related compliance policies and procedures for UBS Bank USA
• on-going oversight and analysis of UBS Bank USA's compliance activities, both within UBS Bank USA and activities conducted by affiliates or vendors
• reporting to the Chief Compliance Officer and Bank Compliance Officers regarding compliance matters related to UBS Bank USA
• supporting UBS Bank USA in its annual compliance risk assessment process
• participating in the regulatory examination process and UBS Bank USA's group internal audits
• escalating any identified potential concern to the UBS Bank USA Chief Compliance Officer
Your team
You will be working alongside the Bank's Compliance Officers ("BCOs"), Program Director, and the Chief Compliance Officer, in the Group Compliance, Regulatory & Governance ("GCRG") function of UBS Bank USA, based in Salt Lake City, UT and Weehawken, NJ. The GCRG team helps UBS ensure regulatory compliance with all applicable banking 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 Bachelors' degree or higher, with a focus in business, finance, accounting or economics preferred
• ideally 3+ years prior compliance experience in the banking industry preferred, with focus on consumer compliance (ex. Equal Credit Opportunity Act, Truth in Lending Act) and safety & soundness regulations and regulatory guidance for CAMELS ratings components (ex. capital management, risk management, governance)
• having an examiner commission from a federal banking regulator or significant progress toward completing an examiner commissioning program is desirable
• strong sound judgement and the ability to articulate views concisely, logically and accurately
• experience conducting testing/assurance activities for policies, procedures, and controls
• excellent writing and communication skills
• knowledgeable of banking laws and regulations, specifically Consumer Financial Protection Bureau ("CFPB"), Federal Reserve Board Regulation W, Federal Deposit Insurance Corporation ("FDIC") laws and regulations, risk management guidance, and Compliance Management System expectations
#LI-Hybrid
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 the top global wealth manager and a large retail bank? Can you build relationships and influence outcomes, as well as develop and implement innovative solutions?
As a Compliance Specialist covering UBS Bank USA, you will contribute to the compliance through supporting the execution of the compliance program across our product areas. This will include regular interaction with business partners, senior management and compliance officers at UBS Bank USA, and partnering with stakeholders from various business and control functions to ensure that we remain in compliance with all applicable banking laws and regulations and within operational risk tolerance.
The successful candidate will be responsible for:
• assisting the compliance team with development and implementation of related compliance policies and procedures for UBS Bank USA
• on-going oversight and analysis of UBS Bank USA's compliance activities, both within UBS Bank USA and activities conducted by affiliates or vendors
• reporting to the Chief Compliance Officer and Bank Compliance Officers regarding compliance matters related to UBS Bank USA
• supporting UBS Bank USA in its annual compliance risk assessment process
• participating in the regulatory examination process and UBS Bank USA's group internal audits
• escalating any identified potential concern to the UBS Bank USA Chief Compliance Officer
Your team
You will be working alongside the Bank's Compliance Officers ("BCOs"), Program Director, and the Chief Compliance Officer, in the Group Compliance, Regulatory & Governance ("GCRG") function of UBS Bank USA, based in Salt Lake City, UT and Weehawken, NJ. The GCRG team helps UBS ensure regulatory compliance with all applicable banking 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 Bachelors' degree or higher, with a focus in business, finance, accounting or economics preferred
• ideally 3+ years prior compliance experience in the banking industry preferred, with focus on consumer compliance (ex. Equal Credit Opportunity Act, Truth in Lending Act) and safety & soundness regulations and regulatory guidance for CAMELS ratings components (ex. capital management, risk management, governance)
• having an examiner commission from a federal banking regulator or significant progress toward completing an examiner commissioning program is desirable
• strong sound judgement and the ability to articulate views concisely, logically and accurately
• experience conducting testing/assurance activities for policies, procedures, and controls
• excellent writing and communication skills
• knowledgeable of banking laws and regulations, specifically Consumer Financial Protection Bureau ("CFPB"), Federal Reserve Board Regulation W, Federal Deposit Insurance Corporation ("FDIC") laws and regulations, risk management guidance, and Compliance Management System expectations
#LI-Hybrid
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.