Head, International Wealth Management Compliance
Your roleAre you a subject matter expert in dealing with Compliance and Regulatory Risk in Wealth Management and/or Broker-Dealer business? Do you have a proven ability to lead others, build relationships and influence outcomes? Can you effectively oversee and execute on complex compliance initiatives and regulatory matters? We're looking for someone who can:
oadvise senior business leaders and less experienced colleagues on risk-related matters to influence compliance-focused outcomes, including risks related to cross-border and suitability o'think on your feet' and effectively balance commercial objectives with legal, regulatory and ethical considerations oreview and challenge first line business proposals and written supervisory proceduresocollaborate with other lines of defense areas, including Compliance Monitoring and Testing, Group Investigations, Surveillance, Regulatory Affairs and Group Internal Auditocoordinate look across and alignment of policies, procedures and controls with Global Wealth Management US and Global Wealth Management (GWM) Latin America (LatAm), and maintain a working knowledge of current regulatory trends, industry best practices, and issues oassist with team oversight and the timely execution of critical projects, regulatory mandates, policy updates, reporting deliverables, and control assessmentsJoin usAt 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?Disclaimer / Policy StatementsUBS 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.
Your teamYou will be working as part of our GWM Compliance team covering Wealth Management International within the Compliance and Operational Risk Control (C&ORC) function for our Global Wealth Management Americas business.
You will also serve a Coordinator Role ensuring alignment and appropriate look across with GWM US and GWM Latam, where appropriate.
Our team is responsible for providing independent oversight and control over the consequential risks arising from our business activities at a global, regional, divisional and entity level.
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 expertiseoideally 15
years of experience in the financial services industry, preferably in a compliance, risk, supervision, or audit roleostrong knowledge of US securities industry rules and regulations (e.
g.
, FINRA, SEC, MSRB, CFTC, NFA) as well as cross border risksoability to clearly communicate with a diverse group of employees across all three lines of defenseoexcellent writing and editing skills in the preparation of clear and concise reports for regulators and executive managementoability to work collaboratively with others and have excellent organizational, planning, project and time management skills, and are able to drive matters to closureAbout usUBS 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?Your Career ComebackWe are open to applications from career returners.
Find out more about our program on ubs.
com/careercomeback.
Recommended Skills Assessments Auditing Editing Ethics Finance Leadership Estimated Salary: $20 to $28 per hour based on qualifications.
oadvise senior business leaders and less experienced colleagues on risk-related matters to influence compliance-focused outcomes, including risks related to cross-border and suitability o'think on your feet' and effectively balance commercial objectives with legal, regulatory and ethical considerations oreview and challenge first line business proposals and written supervisory proceduresocollaborate with other lines of defense areas, including Compliance Monitoring and Testing, Group Investigations, Surveillance, Regulatory Affairs and Group Internal Auditocoordinate look across and alignment of policies, procedures and controls with Global Wealth Management US and Global Wealth Management (GWM) Latin America (LatAm), and maintain a working knowledge of current regulatory trends, industry best practices, and issues oassist with team oversight and the timely execution of critical projects, regulatory mandates, policy updates, reporting deliverables, and control assessmentsJoin usAt 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?Disclaimer / Policy StatementsUBS 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.
Your teamYou will be working as part of our GWM Compliance team covering Wealth Management International within the Compliance and Operational Risk Control (C&ORC) function for our Global Wealth Management Americas business.
You will also serve a Coordinator Role ensuring alignment and appropriate look across with GWM US and GWM Latam, where appropriate.
Our team is responsible for providing independent oversight and control over the consequential risks arising from our business activities at a global, regional, divisional and entity level.
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 expertiseoideally 15
years of experience in the financial services industry, preferably in a compliance, risk, supervision, or audit roleostrong knowledge of US securities industry rules and regulations (e.
g.
, FINRA, SEC, MSRB, CFTC, NFA) as well as cross border risksoability to clearly communicate with a diverse group of employees across all three lines of defenseoexcellent writing and editing skills in the preparation of clear and concise reports for regulators and executive managementoability to work collaboratively with others and have excellent organizational, planning, project and time management skills, and are able to drive matters to closureAbout usUBS 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?Your Career ComebackWe are open to applications from career returners.
Find out more about our program on ubs.
com/careercomeback.
Recommended Skills Assessments Auditing Editing Ethics Finance Leadership Estimated Salary: $20 to $28 per hour based on qualifications.
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