UBS Financial Services Conduct Risk Specialist in Stamford, Connecticut
Conduct Risk Specialist
United States - Connecticut
Job Reference #:
Are you a team player and a problem solver? Do you know how to evaluate risks to make the right call in a challenging and fast-paced environment? Do you have experience in monitoring conduct and conflicts of interest risks in a Wealth Management business?
We're looking for someone like you who can:
• Provide coverage and oversight of the US Wealth Management business' execution of the UBS Conduct Risk Framework
• Monitor, assess and escalate issues related to the Wealth Management business
• Provide effective and timely guidance and challenge to the business on conduct risk and conflicts of interest matters
• Conduct internal and external event reviews to determine applicability to the US Wealth Management business
• Draft and implement policies, procedures and controls
• Coordinate special projects, risk assessments and 'deep-dives'
You’ll be working in the US WM & LatAM Compliance & Operational Risk (C&ORC) function, reporting to the US WM & LatAM Head of C&ORC Frameworks & Strategy. You will work closely with senior colleagues and management across the organization with particular interactions within the US WM, Global Wealth Management and regional C&ORC and business teams.
• Exceptional writing and communication skills
• Strong leadership and motivational skills
• 7+ years of audit, legal, regulatory, compliance and/or risk experience in the financial services industry; several of those years in a conduct risk and/or conflicts of interest relevant capacity
• A strong understanding of regulatory developments within these areas
• An influencer, easily prioritizing high-volume workloads with multiple deadlines
• Capable of navigating a diverse and multi-dimensional matrix organization
• Self-driven, with a proactive and solution-oriented working style
• Analytical, with unwavering attention to detail
• Comfortable working independently, as well as in a team-oriented environment
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.