UBS Financial Services Compliance Risk Specialist - Bank USA in Nashville, Tennessee
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:
complete testing UBS Bank USA and UBS AG U.S. Branches, including the FDIC, Consumer Financial Protection Bureau, Federal Reserve, and OCC supervised Branches as scheduled
perform Compliance Testing scheduled in a comprehensive and timely manner consistent with the Compliance Program procedures
evaluate the regulatory requirements included in the assigned Compliance Test, and make sure that the scope, approach, documentation and data requirements are thorough
interview appropriate business area personnel to understand the context of the practices and processes under review
complete evaluation of applicable policies and procedures to determine whether they are current, accurate, complete and address the risks associated with the process or practice
perform sample-based testing evaluations, including the documentation of scripts, work papers and results observed
work with Compliance organization colleagues for communication of results and potential issues identified
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.
Keen to achieve the work-life agility that you desire? We're open to discussing how this could work for you (and us).
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 will be working as part of the Compliance Testing Team, a unit within Compliance and Operational Risk Control (\"C&ORC\") for UBS Bank USA and UBS AG. Our team is responsible for performing the monitoring as well as completing the steps to ensure accurate and complete tracking, reporting and validation of resolution of issues identified. Testing is an essential activity of the Compliance Program. Testing is designed and intended to evaluate whether the business practices comply with the laws, rules and regulations applicable to the Bank and to ensure that the controls are designed to mitigate the related risks are effectively.
Your experience and skills:
a bachelors' degree or higher
3+ years compliance experience in the banking industry preferred
knowledge of banking laws/regulations, specifically Consumer Financial Protection Bureau (CFPB) laws and regulations
strong writing skills
a great communicator – and you know how to handle challenging situations
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 more than 50 countries. Do you want to be one of us?
Job Reference #: 177763BR
Business Divisions: Corporate Center
Title: Compliance Risk Specialist - Bank USA
Job Type: Full Time
Country / State: United States - Tennessee
Function Category: Compliance, Risk