UBS Financial Services Supervisory Controls Compliance Officer/Analyst in Nashville, New Jersey
Are you familiar with regulatory requirements for the financial services industry? Do you have some experience with controls and testing activities? Are you someone who can plan, collaborate and coordinate amongst a large group of diverse professionals?
We're looking for someone like you to:
Assist in the analysis and execution of FINRA rules 3120/3130 through collaboration across key 1st and 2nd lines of defense functions
Identify and evaluate completeness of key controls in support of supervisory efforts
Identify and evaluate 2nd line of defense testing activities to validate supervisory efforts
Support the execution of and conduct various risk assessments
Develop management information and reporting across the control environment to enhance transparency and agility of the Compliance function to changing supervisory and testing needs
What we offer:
Together. That’s how we do things. We offer people around the world a supportive, challenging and diverse working environment. We value your passion and commitment, and reward your performance.
Take the next step:
Are you truly collaborative? Succeeding at UBS means respecting, understanding and trusting colleagues and clients. Challenging others and being challenged in return. Being passionate about what you do. Driving yourself forward, always wanting to do things the right way. Does that sound like you? Then you have the right stuff to join us. Apply now.
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.
You’ll be working within the WMA Field Compliance & Operational Risk Control team, a unit in Compliance and Operational Risk Control (C&ORC). We are a multi-disciplined, 2nd line of defense team covering the spectrum from regulatory compliance activities for WMA Field focused areas and Operational Risk Control activities across all WMA functions and businesses.
Your experience and skills:
A university degree in finance, economics, business administration or a numerical discipline
Exposure to or detailed knowledge of significant regulatory rules/initiatives and the development of programs to address significant regulatory rule/initiatives compliance; FINRA/SEC knowledge is preferred.
Several years of experience in the financial services industry with experience as an auditor or tester within a financial institution or examination experience with a financial industry regulator
Experience with participating in or conducting formal risk assessments
Knowledge of financial products and services offered by broker-dealers and wealth management firms.
A great communicator – and you know how to handle challenging situations
Reliable and resilient – challenging situations and conversations don’t scare you
Team-orientated, while able to complete tasks independently
Motivated, diligent, organized, and able to drive tasks to closure
Expert advice. Wealth management. Investment banking. Asset management. Retail banking in Switzerland. And all the support functions. That's what we do. And we do it for private and institutional clients as well as corporations around the world.
We are about 60,000 employees in all major financial centers, in almost 900 offices and more than 50 countries. Do you want to be one of us?
Job Reference #: 152661BR
Business Divisions: Corporate Center
Title: Supervisory Controls Compliance Officer/Analyst
City: Nashville, Weehawken
Job Type: Full Time
Country / State: United States - New Jersey, United States - Tennessee
Function Category: Compliance, Risk