United States - Connecticut, United States - New Jersey, United States - North Carolina, United States - Tennessee

Risk

Global Wealth Management

Your role

Do you have a strong wealth management background? Are you interested in changing the risk culture? Do you enjoy working in a fast paced and challenging environment? If so, we need your help in shaping our risk narrative and supporting materials.

We are looking for a Business Risk Specialist in the Business Risk Organization (BRO) which is responsible for executing the front to back risk framework of the Global Wealth Management (GWM) US business.

That includes effective risk governance and oversight; execution of operational risk framework elements; enablement of business growth and change balancing risk impact; and strengthening the risk management awareness and culture.

More specifically, you will:
- Assist with risk assessments, governance and oversight of the GWM US business front to back (F2B) risk profile
- Support GWM US Conduct Risk. Conflict of Interest risk, and Reputational Risk management.
• Analyze employee conduct issues, drive events deep dive/lessons learned review, monitor compliance with Reg BI, and ensure completeness of the Conflict of Interest Register
- Assist with cross-area/functional F2B deep dives of MLSIs/NFRIs, KPCs and testing results, internal and external events, and impact analysis of laws, rules, and regulations
- Support regulatory, audit inquiries, and other significant remediation efforts
- Prepare Governance Updates
- Understand and prepare data analysis related to Key Risk Indicators.
- Assist with the execution of the annual GWM US Risk and Control Self-Assessment ("RCSA") and Risk ID processes

Detailed salary information:
• Weehawken: the salary range for this role is $110000 to $157000
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 #

323969BR

City

Nashville, Raleigh, Stamford, Weehawken

Job Type

Full Time

Your team

You’ll be working in the Business Risk Organization (BRO) supporting the Global Wealth Management (GWM) US business, a first line of defense role (1LOD). You will work closely with the business area and group function Business Risk Managers (BRMs), GWM ex-US BRMs, counterparts across the Combined US Operations (“CUSO”) and the 2nd LOD which includes Group Risk Control, C&ORC, and Legal.

Your expertise

- A bachelor’s degree in a relevant area of study required
- FINRA Series 7 or willingness to obtain
- ideally 5+ years of financial services experience in risk management, operational risk management, regulatory supervision or compliance
- Experience providing business risk oversight across businesses in compliance with regulations and internal procedures
- Demonstrated knowledge and experience with:
• Risk frameworks
• Manage Issue closures and developing action plans aimed at remediating control gaps
• Control assessments
• Governance/ preparing executive level presentations
• Regulatory requirements and developments
- Team-orientated mindset with strong interpersonal skills, and the ability to manage conflict and pressure in a demanding environment

You are:
- Proactive and self-driven while demonstrating a strong work ethic with attention to detail and high-quality standards
- capable of prioritizing based on business demands
- Able to Influence and establish relationships with key stakeholders
- An effective communicator and a problem solver
- Proficient with Excel, Power Point, and Word
- Able to persuasively communicate complex issues

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 $110000 to $157000 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 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.

Contact Details

UBS Business Solutions SA
UBS Recruiting

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.