Are you ready to collaborate with key stakeholders across our organization to ensure compliance with all relevant laws and regulations? Do you bring expertise in compliance risk and regulatory frameworks? We’re looking for a compliance testing lead who is not only knowledgeable but also driven to lead, train, and mentor team members. In this role, you will be pivotal in guiding our compliance testing strategy, enhancing risk management practices, and fostering a culture of compliance excellence.
We are looking for someone who can:
• Experience in a compliance, audit, assurance or internal controls function within a complex financial institution
• team-oriented who will help cultivate a cohesive and high-performing team environment by mentoring, training, and connecting with other team members, fostering professional growth and development to drive collective success
• lead compliance testing reviews of applicable laws, rules, regulations
• experience in a compliance, audit, assurance or internal control function area within a complex financial institution
• develop and supervise high quality and detail orientated testing approaches of applicable regulatory requirements to identify potential control gaps, weaknesses, and non-compliance with laws and regulations
• collaborate and share knowledge across the testing team, when necessary
• assist in compliance related matters during examinations by the firm's regulators and GIA
• build a working knowledge of current Federal Reserve Board, OCC, FFIEC, FINRA, SEC and state regulatory issues, as well as the company's own written supervisory policies and procedures
• partner with business stakeholders from various product and control functions to help strengthen processes and controls and complete any remedial action plans.

Job Reference #

319902BR

City

Nashville, Raleigh, Salt Lake City

Job Type

Full Time

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We are open to applications from career returners. Find out more about our program on ubs.com/careercomeback.

Your team

C&ORC is part of the Group Compliance, Regulatory & Governance (GCRG) function. The GCRG function is the center for compliance and operational risk control, governmental and regulatory affairs as well as investigations and governance matters. C&ORC aims to ensure that all compliance, conduct and operational risks are understood, owned and managed to the firm's risk appetite. C&ORC is responsible for providing independent oversight and control over the compliance and operational risks arising from UBS’s business activities at a global, regional, divisional and entity level.
You will be part of the CUSO Compliance Testing Team reporting into the Head of Enterprise and Cross-Divisional Testing. This is a driven and diverse team of professionals, with the responsibility for conducting Second Line of Defense assurance activities for the Combined US Operations (CUSO) of UBS. You will partner with stakeholders from various business and control functions to ensure that the Bank remains in compliance with all applicable banking laws and regulations.

Your expertise

• ideally 8+ years of experience, preferably in compliance testing, audit, assurance or other internal control function with leadership experience
• a university degree, preferably in finance, accounting, technology, economics, or business administration
• ability to calmly manage conflict and pressure in a demanding, high-volume environment
• proven recent experience in managing or leading compliance testing reviews, audits and/or regulatory examinations for a global banking institution for a US regulator
• ability to perform investigative, and analytical responsibilities in a high pressure, deadline driven environment
• ability to be flexible and capable of prioritizing tasks based on changing internal and external demands
• knowledge of risk and control assessments and how the results of such assessments influence the risk-based prioritization of testing programs
• experience with assessing compliance with US Banking regulatory expectations (e.g., Federal Reserve, OCC, FDIC, SEC, FINRA, CFTC, FCM, Federal Financial Institutions Examination Council (FFIEC)), including:
 technology and cyber
 third party risk management
 conflicts of interest and investigations
 safety & soundness (i.e., capital adequacy, capital planning/CCAR, liquidity and funding risk, treasury risk, liquidity risk management, market and credit risk, model risk management)
 fair financial markets and market’s integrity regulations
 records management and privacy
 Banking Regulation (i.e., fair lending, real estate lending and appraisal risk management, etc.)
• ability to apply data driven and lineage review approaches to the testing program
• ability to understand and apply testing methodology to a diverse set of products, business lines, processes and complex regulatory expectations
• excellent written and oral communication skills with the ability to articulate logically and precisely
• excellent organizational, planning, and time management skills, as well as proficiency in Microsoft Office – Word, Outlook, PowerPoint and Excel

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.

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?

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.