Regional Wealth Management Compliance Officer - Boston, United States - UBS

UBS Boston, United States

3 weeks ago

Description

Your role
Are you an expert on the Wealth Management industry, and able to provide analysis on the associated suitability, supervision, and conduct risks? Are you interested by legal and regulatory nuances, and do you enjoy solving complex problems? Are you an organized and motivated individual who enjoys making a positive difference within a collaborative team environment?

We're looking for someone who can:
* work on various compliance and regulatory matters within the region for the wealth management business, advising business colleagues on policy and regulatory requirements, and challenging them to pursue compliance-oriented solutions and strong control processes
* ensure a localized presence of Compliance within the region, participating in business risk meetings and remaining engaged with the business on activities within the region to ensure compliance and conduct risks are identified and appropriately addressed
* perform deep-dive reviews, evaluating processes and controls to be able to identify potential weaknesses and recommend improvements
* assist with the coordination of the branch office exams within the region, providing subject matter expertise on regulatory requirements and ensuring compliance examiners are properly educated on branch processes, personnel and nuanced activities
* partner with Compliance colleagues to ensure requests and inquiries relating to matters from the Field and Senior Management are adequately and consistently addressed
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?
Your expertise
* previous experience in wealth management, compliance, audit and supervision required
* excellent understanding of US Wealth Management industry rules and regulations (e.g., FINRA, SEC, CFTC, NFA)
* a leader with a strong work ethic and attention to detail having good organizational and time management skills
* able to influence others to make positive decisions, resolve conflicts and exercise sound judgment under pressure
* excellent written and verbal communication skills, with the ability to persuasively communicate complex issues succinctly and clearly
About us
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?

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