UBS Financial Services Risk Control Capital Planning Governance Analyst in Stamford, Connecticut
Risk Control Capital Planning Governance Analyst
United States - Connecticut
Job Reference #:
Do you have an analytic mind? Are you persistent and curious? A team player who enjoys new challenges and the ability to manage multiple work stream? Someone who can work collaboratively, but can also take the lead and work independently? We are looking for someone like that to help ensure the operational integrity and completeness of the end-to-end Risk Control capital and planning governance for Chief Financial Officer Attestation (CFOA) within the Intermediate Holding Company (IHC) of the Combined US Operations (CUSO). Responsibilities include:
• Providing support and guidance to enable management / control owners to establish an effective control environment, performance measures/control tests, monitoring accuracy and completeness of the control environment, setting up new controls if gaps are identified, and maintaining control information in UBS systems.
• Ensuring sign-off of the controls summary by the US CRO on the effectiveness of the control environment and that Operational Risk Issue have been properly raised where deficiencies have been noted.
• Supporting issue and action owners to open issues, provide status updates on issue remediation, advise on and review closure packs, collate evidence, and obtain proper approval(s). Discuss and update Operational Risk Issue status with issue owners and in systems.
• Supporting control owners in executing day-to-day controls and control testing. Provide guidance on acceptable evidence, proper testing, evidence for design and operating effectiveness for control assessments, and setting up new controls to address noted deficiencies.
• Preparing control summary documentation, supporting material and obtain US CRO sign-off.
• Monitoring existing controls, create and document new controls when deficiencies are identified.
• Ensuring sign-off from the US CRO on the effectiveness of the controls environment and that issue(s) have been properly raised where deficiencies have been noted.
• Supporting function and control owners to demonstrate design and operating effectiveness for their controls throughout the year, and maintain/retain evidence. Respond to and review control testing results, and help control owners to implement corrective action for any noted deficiencies.
You will be part of Combined US Operations (CUSO) Oversight team within the US Chief Risk Officer's organization reporting to the head of CUSO Oversight. The US CRO has oversight responsibility over all aspects of GRC in the CUSO.
Within the US CRO's office, the CUSO Oversight teams works with divisionally-aligned and firm-wide risk control functions teams within GRC to oversee, within CUSO: governance and policies, New Business Control, Operational Risk Management, CUSO related changes programs, and Risk Control Operations.
The CUSO Operational Risk Manager will work with the individuals reporting to the US CRO, Operational Risk Managers in other GRC functions and the GRC Operational Risk Management team under the GRC Chief Operating Officer
• 3 years or more experience in risk management, risk control, audit or compliance
• Understanding of credit, market, and/or treasury risk
• Know-how in the analysis of business processes
• Effective communication skills, both written and spoken
• Experience in managing business/technology projects
• Strong problem solving/analytical and influencing skills.
• Proactive, self-driven and flexible, with ability to complete multiple tasks under tight deadlines.
• Strong, confident self-motivated contributor who is comfortable working independently to look ahead, anticipate, challenge and manage around obstacles.
• Comfortable with escalation and challenge.
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.