What are the responsibilities and job description for the Branch Review Exam Manager position at UBS?
United States - New Jersey
Compliance, Risk
Group Functions
Job Reference #
258193BR
City
Weehawken
Job Type
Full Time
Your role
We're looking for someone who can:
- conduct risk assessments of issues identified during supervisory and operational exams of the Office of Supervisory Jurisdiction (OSJ) (and non-OSJ) and conduct quality assurance reviews of exam work papers
- manage our Branch Examiners and identify training and development opportunities customized to their needs; collaborate with colleagues located around the country, manage direct reports remotely; schedule/staff exams and ensure all travel-related expenses are in line with policy
- present exam findings to our field management teams, assess corrective actions, and maintain frequent contact with our divisional management in order to resolve issues that may arise during the exam process
- maintain a working knowledge of current FINRA, SEC, and state regulatory issues, as well as our written supervisory procedures and critically assess the audit program to make recommendations to the Head of Branch Review
- small amount of travel for work on a regular basis
Your Career Comeback
We are open to applications from career returners. Find out more about our program on ubs.com/careercomeback.
Your team
You will be working as part of our Branch Review Group, a unit within Compliance and Operational Risk Control (C&ORC) for our Global Wealth Management team in the US. Our team conducts annual, regulatory mandated inspections of our branch and non-branch locations nationwide. We are responsible for conducting independent and rigorous exams to ensure adherence to applicable regulations and internal policies and procedures.
Diversity helps us grow, together. That’s why we are committed to fostering and advancing diversity, equity, and inclusion. It strengthens our business and brings value to our clients.
Your expertise
- a university degree (or international equivalent) preferably in finance, economics, business administration and/or an MBA or JD
- preferably 5 or more years industry experience, ideally with at least 3 years of Compliance/Legal and / or Audit experience
- experience managing teams, providing training, guidance and development to employees with diverse backgrounds and levels of experience
- the ability to perform investigative, analytical, and interviewing responsibilities in a high pressure, deadline-driven environment
- excellent written and verbal communication skills and organizational, planning, and time management skills, as well as, proficiency in Microsoft Office – Word, Outlook, PowerPoint and Excel
- 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
#LI-HR1
About us
UBS is the world’s largest and only truly global wealth manager. We operate through four business divisions: Global Wealth Management, Personal & Corporate Banking, Asset Management and the Investment Bank. Our global reach and the breadth of our expertise set us apart from our competitors.
With more than 70,000 employees, we have a presence in all major financial centers in more than 50 countries. Do you want to be one of us?
With more than 70,000 employees, we have a presence in all major financial centers in more than 50 countries. Do you want to be one of us?
Join us
At UBS, we embrace flexible ways of working when the role permits. We offer different working arrangements like part-time, job-sharing and hybrid (office and home) working. Our purpose-led culture and global infrastructure help us connect, collaborate, and work together in agile ways to meet all our business needs.
From gaining new experiences in different roles to acquiring fresh knowledge and skills, we know that great work is never done alone. We know that it's our people, with their unique backgrounds, skills, experience levels and interests, who drive our ongoing success. Together we’re more than ourselves. Ready to be part of #teamUBS and make an impact?
From gaining new experiences in different roles to acquiring fresh knowledge and skills, we know that great work is never done alone. We know that it's our people, with their unique backgrounds, skills, experience levels and interests, who drive our ongoing success. Together we’re more than ourselves. Ready to be part of #teamUBS and make an impact?
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.
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