United States – New York
Job Reference #
Are you risk averse but risk aware? Do you know how to maintain independence and objectivity? Do know how to evaluate risks in a challenging and fast paced environment? Can you coordinate and report complex deliverables and priorities? We are looking for someone like that who can:
• act as a compliance subject-matter expert for the Global Banking team of the Investment Bank (IB)
• gain a deep understanding of the business, key risks, regulations and technology impacting the Global Banking business
• work to support team members to establish, maintain and review policies, procedures and controls reasonably designed to comply with laws, rules, regulations, and industry standards
• assist team members in preparing for their participation in governance forums, committees, or new business initiatives
• engage the business daily in communications to challenge, educate and guide on compliance, conduct and operational risks, including supporting the business in maintaining high standards of culture and behavior
• analyze compliance risk frameworks with team members to ensure they are designed well and operating effectively
• work alongside team members to guide, challenge and advise multiple complex business units regarding compliance and regulatory obligations
• support team members development and delivery of in-person compliance training
• collaborate with colleagues in Legal, Global Internal Audit and C&ORC, including on regulatory changes, risk assessments, monitoring and surveillance, testing, training and regulatory engagement
• prepare and coordinate the delivery of critical information and formal reports to regulatory bodies
• prepare information, both periodically and upon request, concerning IB and C&ORC issues Contribute information on behalf of GB C&ORC for various management and operational committees
• coordinate initiatives and special projects, driving on-time delivery of C&ORC requirements; may include monitoring of delivery by other functions toward project goals
You’ll be working in the IB Americas C&ORC team in New York, which is a part of the Group Compliance, Regulatory and Governance function, partnering daily with staff in the Control Room and also the Global Banking business area. Global Banking (GB) includes all advisory, capital markets, financing solution and execution for corporate, financial institutions and sponsor clients. We are an independent compliance and risk management function, who identify and assess compliance and operational risk in an environment of integrity, collaboration and effective independent challenge.
• a BS/BA degree
• 1-3 years’ experience in compliance, legal, risk control or audit
• a strong team player who can collaborate and communicate effectively with key stakeholders to drive change
• able to provide clear, timely and appropriate guidance and independent challenge and know when to escalate
• capable of making decisions, resolving conflicts and exercising sound judgment under pressure
• equipped to operate at both a detailed and strategic level, possessing attention to detail and organization skills, as well as excellent presentation and communication skills
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?
We’re a truly global, collaborative and friendly group of people. Having a diverse, inclusive and respectful workplace is important to us. And we support your career development, internal mobility and work-life balance. If this sounds interesting, 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.