Do you know how to keep an eye out for and avoid risk? Are you skilled at assessing processes and making improvements? We’re looking for someone like that who can:
• Regularly evaluate and improve existing processes, put new processes (including training) into action and systematically track these
• Are you an expert in Cross Border?
• Make sure that legal, compliance and regulatory requirements are observed, including Sarbanes-Oxley and KYC (Know-Your-Client)
• Resolve non-operational client issues and complaints in accordance with internal policies and external regulatory requirements
• Act as an interface between regional markets and the central market and sales management units

Job Reference #

319222BR

City

Houston

Job Type

Full Time

Your team

You’ll be working with the Texas Market. Our role is to manage, preserve and grow the wealth of our clients. Our team offers solutions for managing wealth and planning for succession

Your expertise

• Minimum of 5 years of relevant industry experience, including similar positions in a financial institution, preferably Compliance or Control Supervisory background or consulting firm background
• Series 7 and 66 required. Series 9,10 required. 3 and Insurance licenses preferred
• Excellent written and verbal communication skills
• Team oriented, while able to complete tasks independently
• Ability to interact and work closely with business stakeholders at all levels of seniority
• Self-motivated with the ability to work independently
• Possess strong analytical thinking and critical reasoning skills
• Ensure high quality delivery of all output
• Strong understanding of Broker/Dealer and/or Bank Control Framework

About us

UBS is the world’s largest and the 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.

We have a presence in all major financial centers in more than 50 countries.

How we hire

We may request you to complete one or more assessments during the application process. Learn more

Join us

At UBS, we know that it's our people, with their diverse skills, experiences and backgrounds, who drive our ongoing success. We’re dedicated to our craft and passionate about putting our people first, with new challenges, a supportive team, opportunities to grow and flexible working options when possible. Our inclusive culture brings out the best in our employees, wherever they are on their career journey. We also recognize that great work is never done alone. That’s why collaboration is at the heart of everything we do. Because together, we’re more than ourselves.

We’re committed to disability inclusion and if you need reasonable accommodation/adjustments throughout our recruitment process, you can always contact us.

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.