Key competencies and responsibilities:
• Champion risk management in partnership with the Business Areas
• Lead risk management interaction with key business partners (Credit, Compliance, Legal, Finance, Risk, etc.) and internal auditors/external examiners
• Monitor and report on the overall compliance and operational risk portfolio
• Actively support risk-related committees (i.e., Operating Effectiveness, Operating Risk, Enterprise Risk)
• Prepare 1LOD monthly report on the status of the Sales and Service Framework
• Design 1st LOD testing process/plan to evidence compliance with regulations and effectiveness of controls
• Partner which 1LOD quality assurance and quality control team on Sales and Service testing
• Manage and complete the Business Risk and Control Assessments and partner with cross functions teams (product 2nd LOD finance, ops, etc.) to incorporate comprehensive analysis of the assessments
• Design Supervisory procedures and monitoring of sales staff to verify they are in compliance with licensing rules and regulations
• Work with training manager to verify that a comprehensive training plan is in place annually and needs based training has been identified
• Track, report and coordinate closure of identified issues
• Assist and lead issue resolution/remediation across functions (as pertain to this area)
• Enhance the Business Risk Framework for all types of Risk

Detailed salary information:
• Weehawken: the salary range for this role is $100000 to $130000
The expected salary range(s) for this role as of the date of this posting is/are based on factors including, but not limited to, experience, qualifications, education, location and skill level. This role may also be eligible for discretionary incentive compensation. For benefits information, please visit ubs.com/usbenefits.

Job Reference #

315615BR

City

Weehawken

Job Type

Full Time

Your Career Comeback

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

Your team

This individual will work as part of the Business Risk Management Team in the home office, reporting to the Business Risk Manager lead. The Business Risk Management Team is responsible for managing all business risk (first line of defense) in partnership with multiple Control areas (second line of defense).

Your expertise

• ideally College degree with at preferably 3+ years of experience in branch sales
• Excellent written and verbal communication skills
• Strong negotiation and influence skills
• Proven track record of delivering results and meeting targets
• Track record of successfully supporting business users with reporting & analytics, decision support, and presentation support
• Ability to interact with all levels of management, multi-task and work well under pressure
• Clean regulatory track record
• Analytical, consultative and investigative skills and an independent, driven approach
• Understanding of regulatory environment
• Preferred work experience in the disciplines outlined above
• Organized, analytical and able to readily interpret data, including legal and compliance-related materials
• Self-confident, have strong judgment and evidence of sound decision-making and problem-solving skills
• Comfortable collaborating with diverse constituencies
• Proficient in MS Excel, Word, PowerPoint and Outlook

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.

Salary information

US Only: The expected salary range for this role is $100000 to $130000 based on factors including, but not limited to, experience, qualifications, education, location and skill level. Please see «Your role» section for detailed salary information.

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.