UBS Financial Services Intermediate Holding Company (IHC) Compliance Specialist in Weehawken, New Jersey
Do you know how to identify, analyze and assess operational risks? Do you have the skills to analyze and evaluate data, identify potential issues, challenge the status quo, and communicate your findings in a precise and impactful manner?
We're looking for individuals who can:
help ensure Compliance risks are well understood and controlled within the Intermediate Holding Company (IHC)
support the completion of the continued review of the Federal Reserve's Supervision and Regulation (SR) Letters, the mapping to the firm's policies & procedures, and the remediation of any control gaps
support the enhancement of the IHC Bank Compliance framework, including risk assessments, corporate governance, testing and monitoring, and training
liaise with senior management in the IHC and functional leaders and challenge the business and logistic functions on the design and operating effectiveness of their compliance controls and processes pertaining to their appropriate rules/regulations and SR Letters
analyze firm, industry, and regulatory data and trends to identify potential Compliance and Risk issues
support risk governance activities and forums and help drive significant initiatives and projects.
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 Compliance and Operational Risk Control (C&ORC) team within the U.S. in supporting the business and logistic functions in complying with the relevant rules and SR Letters. You will work closely with senior and global C&ORC management, as well as those from other UBS-wide functions, and also with IHC management and be based in Weehawken, NJ.
Your experience and skills:
10+ years of legal, regulatory and/or compliance experience in the financial services industry
a university degree preferably in finance, economics, business administration or a numerical discipline; an MBA or JD is a plus
strong understanding of Reg YY and the critical components of the Fed's Supervisory Review Letters
knowledge in either of the following areas relating to SR Letters: Liquidity and Funding, IT & Data Security, Capital Planning, Market Risk/Credit Risk management/controls
excellent organizational, planning, and time management skills, as well as advanced proficiency in Microsoft Office
experience dealing with financial industry regulators and excellent written and verbal communication skills
a great communicator – and you know how to handle challenging situations and able to drive tasks to closure
reliable and resilient – challenging situations and conversations don’t scare you
team-oriented, while able to complete tasks independently
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 #: 155594BR
Business Divisions: Corporate Center
Title: Intermediate Holding Company (IHC) Compliance Specialist
Job Type: Full Time
Country / State: United States - New Jersey
Function Category: Compliance