Wednesday , February 8 2023

UBS Jobs in Nashville – Americas Regulatory Compliance

Website UBS

Job Description:

Are you investigative in nature? Do you know how to assess if a process is designed well to effectively mitigate a regulatory and operational risk? If so, we are looking for someone who can:

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Job Responsibilities:

  • contribute to risk frameworks being designed well and operating effectively across the entire bank’s risk landscape
  • assess and challenge whether the control framework meets regulatory expectations
  • communicate updates and issues to responsible business stakeholders and Senior Management (Onshore and Offshore)
  • prepare detailed work papers to support the results of the review
  • report and present findings
  • assess a control design for risk effectiveness and test it for operating effectiveness
  • plan, coordinate and perform actual testing fieldwork within deadlines

Job Requirements:

  • compliance testing/audit within banking/financial institution or examination experience at a financial industry regulator
  • knowledge of US Securities and Banking regulatory requirements
  • knowledge of financial products and services (within Wealth Management, Investment Banking, Asset Management) offered by UBS
  • ability to assess controls to ensure adequacy in ensuring US regulatory and operational risks are effectively managed

Job Details:

Company: UBS

Vacancy Type:  Full Time

Job Location: Nashville, TN, US

Application Deadline: N/A

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