**Broker Dealer Regulatory Governance Specialist**
United States - Illinois, United States - New York
Compliance
Group Functions
Job Reference #
229447BR
City
Chicago, New York
Job Type
Full Time
Your role
assist in the planning, coordination and delivery of our team's annual review plan
identify and evaluate the effectiveness of existing controls
prepare detailed work papers to support the results of the review program
structure and propose remedial actions to address identified issues
report identified issues to UBS senior management
articulate an independent and balanced opinion in written and oral form
Your team
Youll be working on the Broker Dealer Regulatory Governance Team (BDRG), a unit within Compliance and Operational Risk Control (C&ORC). We are focused on the investment bank division and conduct reviews of UBSs various businesses in order to proactively identify compliance issues (e.g., securities laws and broker-dealer rules & regulations, prudential regulations) and ensure adequate controls are in place to mitigate associated risks. We are primarily responsible for conducting institutional branch inspections and performing examinations of UBSs controls and compliance framework in support of CEO and CCO annual certification requirements for Broker Dealer.
Your expertise
a university degree in finance, economics, business administration or numerical discipline
J.D., M.B.A. or other relevant advanced degree a plus
several years of experience in the financial services industry
in-house audit at a financial institution or examination experience at a financial industry regulator
knowledge of financial products and services offered by investment bank
knowledge of U.S. securities laws & regulations as well as SRO rules
a great communicator (and you know how to handle challenging situations)
team-orientated, while able to complete tasks independently
motivated, diligent, conscientious, highly organized, detail-oriented, accurate and able to drive tasks to closure
able to travel (on occasion)
*LI-UBS
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.
Join 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.
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