UBS Financial Services Branch Examiner in Any, United States
Job Reference #:
Are you the type of person that cares business is done right? Do you want to protect investors and the integrity of the financial system? Do you have the skills to analyze data, perform in-person office inspections, identify red flags, and communicate your findings in a precise and impactful manner?
We're looking for someone who can:
• Review and research branch office activities to identify red flag issues and determine compliance with firm and regulatory rules and procedures
• Communicate with branch managers and sales support personnel regarding office procedures and financial advisor activity in a high pressure environment
• Prepare detailed work papers to support the results of the testing program
• Synthesize the result of the testing program for communication to senior management
• Maintain a working knowledge of current FINRA, SEC and state regulatory issues, as well as the company's own written supervisory procedures
• Productively work from home full time and pro-actively communicate with colleagues located around the country
• Travel for work on regular basis (approximately 30% travel) primarily throughout the your geographic region
You will be working as part of the Branch Review Group, a unit within Compliance and Operational Risk Control (C&ORC) for UBS Global Wealth Management US. Our team conducts annual, regulatory mandated inspections of our branch offices nationwide. We are responsible for conducting independent and rigorous branch exams to ensure adherence to applicable regulations and internal policies and procedures.
• A university degree. Preferably in finance, economics, business administration and/or an MBA or JD
• The ability to perform investigative, analytical and interviewing responsibilities in a high pressure, deadline driven environment
• Excellent written and verbal communication skills
• Excellent organizational, planning, and time management skills, as well as, proficiency in Microsoft Office – Word, Outlook, PowerPoint and Excel
• A great communicator – and you know how to handle challenging situations
• Reliable and resilient – challenging situations and conversations don’t scare you
• Team-orientated, while able to complete tasks independently
• Motivated, diligent, organized, and able to drive tasks to closure
• Able to travel overnight for extended period, but generally less than a week at a time
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.