UBS
Compliance & Operational Risk Controller
UBS, Weehawken, NJ
Your role
Do you have a strong risk and analytical mind and extensive experience in non-financial risk management in a large-scale, complex organization either in the business or in a control function? Can you provide independent oversight, review and challenge and are confident when it comes to speaking up for what is right and challenging at all levels?
We are looking for an experienced non-financial risk professional to act as Compliance & Operational Risk Controller (C&ORC) in our second line of defense team covering Group Risk Control (GRC) in the Combined US Operations (CUSO).
The successful candidate will be required to:
• be responsible for driving a strong non-financial risk culture and provide independent oversight and challenge to GRC on compliance and operational risks
• provide comprehensive transparency on all material compliance and operational risks related to GRC and ensure issues are escalated and reported to the required level of authority
• work collaboratively with C&ORC business aligned, functional specialist teams and business managers to ensure non-financial risks are identified and managed according to the CUSO GRC risk appetite
• develop strong working relationships with CUSO senior stakeholders and attend CUSO risk committees and forums to represent C&ORC GRC in executing our review and challenge mandate
• lead the design and performance of quarterly Compliance Risk Assessments (CRA) monitoring controls to ensure adherence to key relevant rules and regulations
• review and challenge the Control Assessments, Non-Financial Risk Events as well as the Risk Control Self Assessments in relation to Group Risk Control CUSO
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?
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.
Your team
You will be based in New York and will report to the Head C&ORC GRC. We are a global dynamic, driven, diverse and collaborative team of professionals with oversight responsibility for managing the compliance and operational risk arising from our aligned Group Functions.
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
• 5 + years of strong market risk and/or credit risk expertise, with excellent understanding of controls, processes and systems relevant to risk control, as well as emerging risks in the financial services industry
• operational risk expertise, relevant experience in risk control with compliance and control disciplines related to the financial services industries
• demonstrated ability to successfully assess and implement effective and efficient risk controls front-to-back within large organizations in addition to strong knowledge of applicable regulations and industry best practices
• sound knowledge of the regulatory environment, and proven experience in interacting with regulators
• strong risk mindset and experience working in a dynamic and complex matrix organization
• team-orientated mindset with strong interpersonal and communication skills, resilient and the ability to manage conflict and pressure in a demanding environment
• excellent, networking and influencing skills (on the ground as well as remotely) across the front to back organization with strong communication and collaboration skills, and adept at presenting key results or other outcomes to management
• Excellent written and verbal communicator, comfortable interacting with colleagues at all levels
#LI-Hybrid
About us
UBS is the world's largest and the 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..
We have a presence in all major financial centers in more than 50 countries.
Salary information
CA, CO, WA and NY based roles: The salary range for this role is $150,000 to $190,000 based on experience, education, and skill level. This role may be eligible for discretionary incentive compensation. For benefits information: ubs.com/usbenefits.
Do you have a strong risk and analytical mind and extensive experience in non-financial risk management in a large-scale, complex organization either in the business or in a control function? Can you provide independent oversight, review and challenge and are confident when it comes to speaking up for what is right and challenging at all levels?
We are looking for an experienced non-financial risk professional to act as Compliance & Operational Risk Controller (C&ORC) in our second line of defense team covering Group Risk Control (GRC) in the Combined US Operations (CUSO).
The successful candidate will be required to:
• be responsible for driving a strong non-financial risk culture and provide independent oversight and challenge to GRC on compliance and operational risks
• provide comprehensive transparency on all material compliance and operational risks related to GRC and ensure issues are escalated and reported to the required level of authority
• work collaboratively with C&ORC business aligned, functional specialist teams and business managers to ensure non-financial risks are identified and managed according to the CUSO GRC risk appetite
• develop strong working relationships with CUSO senior stakeholders and attend CUSO risk committees and forums to represent C&ORC GRC in executing our review and challenge mandate
• lead the design and performance of quarterly Compliance Risk Assessments (CRA) monitoring controls to ensure adherence to key relevant rules and regulations
• review and challenge the Control Assessments, Non-Financial Risk Events as well as the Risk Control Self Assessments in relation to Group Risk Control CUSO
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?
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.
Your team
You will be based in New York and will report to the Head C&ORC GRC. We are a global dynamic, driven, diverse and collaborative team of professionals with oversight responsibility for managing the compliance and operational risk arising from our aligned Group Functions.
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
• 5 + years of strong market risk and/or credit risk expertise, with excellent understanding of controls, processes and systems relevant to risk control, as well as emerging risks in the financial services industry
• operational risk expertise, relevant experience in risk control with compliance and control disciplines related to the financial services industries
• demonstrated ability to successfully assess and implement effective and efficient risk controls front-to-back within large organizations in addition to strong knowledge of applicable regulations and industry best practices
• sound knowledge of the regulatory environment, and proven experience in interacting with regulators
• strong risk mindset and experience working in a dynamic and complex matrix organization
• team-orientated mindset with strong interpersonal and communication skills, resilient and the ability to manage conflict and pressure in a demanding environment
• excellent, networking and influencing skills (on the ground as well as remotely) across the front to back organization with strong communication and collaboration skills, and adept at presenting key results or other outcomes to management
• Excellent written and verbal communicator, comfortable interacting with colleagues at all levels
#LI-Hybrid
About us
UBS is the world's largest and the 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..
We have a presence in all major financial centers in more than 50 countries.
Salary information
CA, CO, WA and NY based roles: The salary range for this role is $150,000 to $190,000 based on experience, education, and skill level. This role may be eligible for discretionary incentive compensation. For benefits information: ubs.com/usbenefits.