UBS Financial Services Program Management Director in Weehawken, New Jersey
Program Management Director
United States - New Jersey
Job Reference #:
Are you passionate about delivery and an expert on finding the right solutions? Do you know how to juggle multiple tasks and effectively prioritize? Are you detail oriented and a great communicator? Do you want to work closely with senior management across the UBS organization? Are you looking to have meaningful impact on the forward looking success of the function?
We're looking for someone who can:
• Support the implementation of strategic priorities and directives on behalf of C&ORC by coordinating across the department and business divisions.
• Develop and support departmental budget processes and coordinate with COOs and Business Management on the budget process and associated documentation on behalf of C&ORC.
• Engage with Functional and Regional stakeholders across the firm to execute on operating plans and drive business efficiencies.
• Assist in the design and implementation of solutions to address changes in regulations and/or business models.
• Contribute GWM and Americas-related information to regional and global C&ORC groups and reporting functions.
• Coordinate with Global C&ORC management and Chiefs of Staff, as well as other logistics partners, to achieve consistency and alignment with global policies and initiatives.
• Coordinate regulatory initiatives and special projects, driving on-time delivery of C&ORC requirements; may include monitoring of delivery by other functions toward project goals.
• Liaise with the representatives of other C&ORC functions (e.g. Financial Crimes, Employee Conduct, and Monitoring and Surveillance) to verify the effective delivery of services conducted on behalf of GWM to meet regulatory mandates.
Specific immediate responsibilities focus on the implementation of Regulation Best Interest (Reg BI):
• Develop and maintain ownership of a unified Regulation Best Interest policy; oversee changes to existing WM US compliance policies to align with Reg BI.
• Develop firm-specific compliance training content for FAs and supervisory personnel; oversee updates to existing product and service training modules to align with the Rule.
• Work with cross-departmental business partners to maintain an ongoing Governance structure ensuring that Reg BI standards are effectively implemented, monitored, and reviewed.
• Work with cross-departmental business partners to define violations of Reg BI and integrate them into the existing Violations program.
You will serve as a Director in the Program Management and Analytics team within Americas Global Wealth Management (GWM) Compliance & Operational Risk Control (C&ORC) and report directly to the C&ORC Americas Head of Program Management and Analytics. In this role, you will play an integral part in the management of the C&ORC function and be responsible for ensuring the effective delivery of the department's overall mission, while adhering to applicable regulatory standards. Our team is responsible for providing independent oversight and control over the compliance and operational risks arising from GWM business activities in the Americas.
• Bachelor's Degree
• 5-7 years of experience in a financial services industry, including business management, financial or accounting experience.
• Excellent writing and editing skills in the preparation of clear and concise reports for regulators and senior management.
• Ability to clearly evaluate budgeting and personnel structure across various corporate departments and divisions. Strong organizational skills.
• Previous experience conducting Compliance Risk Assessments (CRA's)
• Working knowledge of Regulation Best Interest (Reg BI)
• 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
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.