- Support Compliance Officers across a range of consumer compliance matters.
- Effectively communicate with stakeholders and management at a variety of levels.
- Work with and take instruction from Testing Leads on conducting compliance testing reviews of applicable laws, rules, regulations, and controls.
- Interpret new and/or existing laws, rules and regulations, analyze existing policies, procedures, processes and controls to determine gaps.
- Evaluate the design and operating effectiveness of controls, assess identified findings and determine root causes in accordance with internal guidelines and standards.
- Prepare detailed work papers to support the results of the testing program.
- Participate in knowledge sharing and best practice trainings with other CUSO CT members.
- Partner with business stakeholders from various product and control functions to help strengthen processes and controls and complete any remedial action plans.
- Comply with all regulations, policies and standards to be in line with our compliance and risk management culture
- A university degree
- Ideally 4 to 6 years of relevant experience within the banking sector, regulatory consumer compliance and/or audit
- Basic knowledgeable of banking laws and regulations
- Fundamental understanding of control testing and risk assessment
- Excellent written and oral communication skills with the ability to articulate logically and precisely
- Strong organizational skills
- Analytical and detail-oriented
- Ability to calmly manage conflict and pressure in a demanding, high-volume environment
- Ability to be flexible and capable of prioritizing tasks based on changing demands
- Ability to work as a member of a team where success is defined not only on individual performance but also that of the entire team
- Self-motivated
- Excellent planning and time management skills
- Proficiency in Microsoft Office (Word, Outlook, PowerPoint and Excel)
- LI-UBS
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Compliance Testing Specialist - Nashville, United States - UBS
Description
Your roleAre you ready to partner with key stakeholders across our business to ensure we remain in compliance with applicable laws and regulations?
We are looking for someone who can:
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?Your expertise
Qualifications:
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.
