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|Job Category :
||CUSO Compliance Testing Manager
||800 Harbor Blvd, Weehawken, NJ 07086
|Job Description :
||United States – New Jersey
Job Reference #
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 aspect of compliance? Do you have experience in conducting audits or testing reviews in order to assess compliance with legal, regulatory, and internal firm policy requirements applicable to UBS products and services and the ability to identify red flags, and communicate your findings in a precise and impactful manner?
We are looking for someone who can:
conduct compliance testing reviews of applicable laws, rules, regulations, and controls
has experience in a compliance, audit, assurance or internal control function area within a complex financial institution
develop testing modules, scripts and review plans
align testing plans to annual Compliance Risk Assessments and incorporate regulatory priorities accordingly
provide guidance and feedback to team members with respect to applicable regulatory requirements to ensure that testing is adequately designed to identify potential control gaps, weaknesses, and non-compliance with laws and regulations
provide guidance and help advise less senior compliance testing staff when necessary
prepare and provide a review of detailed work papers to support the results of the testing program
synthesize the results of the testing program for communication to senior management
assist in compliance related matters during examinations by the firm’s regulators and GIA
maintain a working knowledge of current Federal Reserve Board, OCC, FFIEC, FINRA, SEC and state regulatory issues, as well as the company’s own written supervisory policies and procedures
travel to other UBS locations if necessary
Your Career Comeback
We are open to applications from career returners. Find out more about our program on ubs.com/careercomeback.
You will be part of the C&ORC CUSO Compliance Testing team and report to the Head of CUSO Central Testing for the Americas. This is a driven and diverse team of professionals, with the responsibility for conducting Second Line of Defense assurance activities for the Consolidated US Operations (CUSO) business for UBS.
a university degree preferably in finance, economics, or business administration; an MBA or JD is preferred
ideally 9+ years of experience in compliance, preferably in compliance testing, audit, assurance or other internal control functions
knowledge of risk and control assessments and how the results of such assessments influence the risk-based prioritization of testing programs
proven recent experience in managing or leading compliance testing, audits and/or quality assurance reviews for a global banking institution is preferred
demonstrated ability to understand effective and efficient risk controls and gaps within large organizations
ability to perform investigative, analytical and interviewing responsibilities in a high pressure, deadline driven environment
experience and/or knowledge of US regulators (Federal Reserve, OCC, FDIC, etc.) and an understanding of regulatory expectations/requirements
ability to understand and apply testing methodology to a variety of products and complex transactions
ability to led testing reviews with minimum/no supervisionability to oversee 1-4 individuals working on a review/project
excellent written and verbal communication skills
excellent organizational, planning, and time management skills, as well as proficiency in Microsoft Office – Word, Outlook, PowerPoint and Excel
a self-starter and solutions-oriented and not easily discouraged
exceptionally flexible, adaptable, pragmatic and capable of prioritizing based on changing internal or external demands
team-oriented with strong interpersonal skills, able to calmly manage conflict and pressure in a demanding, high-volume environment
structured, rigorous, analytical and thorough in your approach
motivated, diligent, organized, and able to drive tasks to closure
experienced in handling sensitive information with a high degree of discretion
ambitious with a strong desire to grow in this role
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?
From gaining new experiences in different roles to acquiring fresh knowledge and skills, at UBS 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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