What are the responsibilities and job description for the Compliance Testing Analyst position at UBS?
United States - Utah
Compliance, Risk
Group Functions
Job Reference #
259138BR
City
Salt Lake City
Job Type
Full Time
Your role
Are you a compliance risk expert? Are you the type of person that cares business is done right? Are you ready to work in the second line of defense (2LOD) aspect of compliance? Do you have experience in conducting audits or testing reviews in order to assess compliance with legal, regulatory, and company policy requirements, with the ability to identify red flags, and communicate findings in a precise and impactful manner?
We are looking for someone like that who can:
We are looking for someone like that who can:
- conduct compliance testing reviews of applicable laws, rules, regulations, and controls
- align testing plans to annual Compliance Risk Assessments and incorporate regulatory priorities accordingly
- prepare detailed work papers to support the results of the testing program
- assist in synthesizing the results of the testing program for communication to management
- assist in compliance related matters during examinations by our regulators and Group Internal Audit
- build a working knowledge of current Federal Reserve Board, OCC, FFIEC, FINRA, SEC and state regulatory issues, as well as our internal supervisory policies and procedures
- travel to other UBS locations if necessary
Your team
You will be part of the Compliance & Operational Risk Control (C&ORC) Consolidated US Operations (CUSO) Compliance Testing team and report to the Head of CUSO Central Testing for the Americas. We are a driven team of professionals, responsible for conducting 2LOD assurance activities for our CUSO business.
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
- ideally a university degree or international equivalent, preferably in finance, accounting, economics, or business administration
- ideally 4 years of experience in compliance, preferably in compliance testing, audit, assurance or other internal control functions within a complex financial institution
- knowledge of risk and control assessments and how the results of such assessments influence the risk-based prioritization of testing programs
- proven experience with compliance testing, audits and/or quality assurance reviews for a global banking institution
- knowledge of working with testing modules, scripts and review plans
- demonstrated ability to understand effective and efficient risk controls and gaps
- ability to perform investigative, and analytical responsibilities in a high pressure, deadline driven environment
- experience and/or knowledge of US regulators (Federal Reserve, OCC, FDIC) and an understanding of regulatory expectations/requirements
- ability to understand and apply testing methodology to a diverse set of products and complex transactions
- excellent written and verbal communication skills
- a self-starter, flexible, adaptable, pragmatic and capable of prioritizing based on changing internal or external demands
- team-oriented with strong interpersonal skills
- structured, rigorous, analytical and thorough in your approach
- motivated, diligent, organized, and able to drive tasks to closure
- UBS-ACCA
- UBS-MOGUL
- LI-UBS
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?
How we hire
This role requires an assessment on application. Learn more about how we hire: www.ubs.com/global/en/careers/experienced-professionals.html
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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