UBS Financial Services Americas Compliance & Operational Risk Control Chief of Staff in Jersey City, New Jersey
Americas Compliance & Operational Risk Control Chief of Staff
United States - New Jersey, United States - New York
Job Reference #:
Jersey City, New York, Weehawken
We are looking for an organized, motivated, and adaptable Chief of Staff to support the Head of Operational Risk Control Americas and the Americas Chief Compliance Officer (together, the C&ORC Co-Heads) and the senior management team within C&ORC. The successful candidate will ensure that the activities of the function are successfully implemented in order to manage the compliance, conduct, and operational risk management program at UBS for the Combined US Operations (CUSO). The successful candidate will be responsible for:
• Providing support to the C&ORC Co-Heads and other senior C&ORC staff in managing the strategic priorities and initiatives
• Leading the regional and global governance efforts for C&ORC including preparing presentations and materials for internal governance committees and the Board of Directors
• Preparing regular presentations for regulators and coordinating materials for regulatory exams and inquiries
• Drafting internal communications to C&ORC staff ensuring that the consistency and quality of communications from the global C&ORC and GCRG teams
• Leading the Americas C&ORC Risk Committee and senior leadership staff meetings on behalf of the C&ORC Co-Heads including setting the agenda and coordinating with internal stakeholders
• Serving as Secretary and driving the agenda for the GCRG Americas Management Committee
• Coordinating regular update calls with all C&ORC Staff and driving the agenda and preparation for quarterly GCRG Americas Townhalls
• Representing the Head of Operational Risk Control (ORC) Americas when necessary in internal governance committee meetings; working closely with the ORC team leads on driving strategic changes to the ORC program and coordinating the ORC senior leadership meetings
• Partnering with the Head C&ORC Business Management on the administration of the C&ORC Americas team including, but not limited to, maintaining organizational charts, distribution lists, and the intranet site; working closely and partnering with other chiefs of staff/business managers in C&ORC and GCRG
• Overseeing the GCRG global and regional people initiatives and supporting the function in providing employee engagement and training opportunities
• Coordinating with HR Business Partner on HR-related issues and activities such as core cycle and related activities
• Manage employee related controls including, but not limited to, Covered Employee Status, Local Line Managers, Restricted (physical) Access Controls, Block Leave, and Restricted Person List oversight
You will be based in the Tri-State reporting to the Head Operational Risk Control Americas and the Americas Chief Compliance Officer and working closely with senior C&ORC and GCRG management. The C&ORC team is a dynamic, driven and diverse team of professionals with oversight responsibility for managing the compliance and operational risks arising from UBS' business in the CUSO.
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.
• A Bachelor's degree in a relevant area of study required, advanced degree (MBA, JD) is a plus
• 10+ years of prior compliance and/or operational risk or related regulatory experience with a wealth management, broker dealer, retail and/or private bank, or 10+ years of compliance related experience at a law firm, regulatory agency, financial institution, or major consulting firm
• Strong communication and networking skills – to be successful in the mandate, the individual will be required to collaborate with senior C&ORC management, prepare materials for senior C&ORC and business management in governance committees, prepare materials for the Board of Directors, and help respond quickly to requests from regulators, handle challenging situations, and manage a large number of stakeholders
• Significant experience with US regulations and a thorough understanding of the legal and regulatory expectations / requirements related to compliance and operational risk management
• Team-oriented with strong interpersonal skills, able to calmly manage conflict and pressure in a demanding, high-volume environment
• Analytical and enjoy problem-solving
• An excellent communicator and exceptionally organized
• Able to be flexible and capable of prioritizing based on changing internal or external demands
• Experienced in handling sensitive information with a high degree of discretion
• Proficient in Microsoft Office (Outlook, Word, PowerPoint, Excel)
• Enthusiastic, engaged and proactive challenger of routines and tasks
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.
Your Career Comeback:
We are open to applications from career returners. Find out more about our program on ubs.com/careercomeback at https://www.ubs.com/global/en/careers/career-comeback/welcome.html .