Job description
United States - Illinois, United States - New Jersey, United States - New York
Compliance, Risk
Group Functions
Job Reference #
268025BR
City
New York, Weehawken
Job Type
Full Time
Your role
Are you the type of person that cares business is done right? Do you want to protect investors and the integrity of the financial system? Do you have the skills to analyze data, perform in-person office inspections, identify red flags, and communicate your findings in a precise and impactful manner?
We're looking for someone who can:
We're looking for someone who can:
- review and research branch office activities to identify red flag issues and determine compliance with our and regulatory rules and procedures
- communicate with branch managers and sales support personnel regarding office procedures and financial advisor activity in a high-pressure environment
- prepare detailed work papers to support the results of the testing program and synthesize the result of the testing program for communication to management
- maintain a working knowledge of current FINRA, SEC and state regulatory issues, as well as our own written supervisory procedures
- productively work pro-actively communicate with colleagues located around the country and travel for work on a regular basis (approximately 30% travel) primarily throughout your geographic region
Your team
You will be working as part of our Branch Review Group, a unit within Compliance and Operational Risk Control (C&ORC) for our Global Wealth Management US. Our team conducts annual, regulatory mandated inspections of our branch offices nationwide. We are responsible for conducting independent and rigorous branch exams to ensure adherence to applicable regulations and internal policies and procedures.
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.
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 (or international equivalent) preferably in finance, economics or business administration; MBA or JD if preferred
- ability to perform investigative, analytical and interviewing responsibilities in a high-pressure, deadline driven environment
- excellent written and verbal communication skills, excellent organizational, planning, and time management skills, as well as proficiency in Microsoft Office – Word, Outlook, PowerPoint and Excel
- a great communicator – you know how to handle challenging situations and are reliable and resilient – challenging situations and conversations don’t scare you
- team-orientated, while able to complete tasks independently and drive tasks to closure
- able to travel overnight for extended period but generally less than a week at a time
#LI-HR1
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?
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 $135,000 to $165,000 based on experience, education, and skill level. This role may be eligible for discretionary incentive compensation. For benefits information: ubs.com/usbenefits.
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?
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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