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UBS Financial Services Americas Regulatory Compliance Tester in Jersey City, New Jersey

Americas Regulatory Compliance Tester

United States - New Jersey, United States - New York, United States - Tennessee


Group Functions

Job Reference #:



Jersey City, Nashville, New York

Job Type:

Full Time

Your role:

Are you investigative in nature? Do you know how to assess if a process is designed well to effectively mitigate a regulatory and operational risk? If so, we are looking for someone who can:

• contribute to risk frameworks being designed well and operating effectively across the entire bank's risk landscape

• assess and challenge whether the control framework meets regulatory expectations

• assess a control design for risk effectiveness and test it for operating effectiveness

• plan, coordinate and perform actual testing fieldwork within deadlines

• communicate updates and issues to responsible business stakeholders and Senior Management (Onshore and Offshore)

• prepare detailed work papers to support the results of the review

• report and present findings

Your team:

You’ll be working in the Americas Regulatory Compliance Testing team which is part of the Independent Management Assurance Team embedded in the Global Compliance & Operational Risk Control (C&ORC) organization. We are a major program within UBS to ensure that we have independent testing and assurance as to the key controls that address our major risks, globally.

Your expertise:

• compliance testing/audit within banking/financial institution or examination experience at a financial industry regulator

• knowledge of US Securities and Banking regulatory requirements

• ability to assess controls to ensure adequacy in ensuring US regulatory and operational risks are effectively managed

• knowledge of financial products and services (within Wealth Management, Investment Banking, Asset Management) offered by UBS

• experience in the following areas is preferred:

• market and/or credit risk

• stress testing, capital adequacy, capital plan rules such as CCAR

• enhanced prudential standards

• treasury, liquidity and funding

• models and model governance, regulatory and financial reporting

• trading desk activity and metrics

• experience in performing management review/quality assurance of audit/compliance workpapers and reporting


About us:

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?

Join 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.