- Professional
- Bureau à Nashville
Your role
We are looking for a Business Risk Specialist in the Business Risk Organization (BRO) which is responsible for executing the front to back risk framework of the Global Wealth Management (GWM) US business.
That includes effective risk governance and oversight; execution of operational risk framework elements; enablement of business growth and change balancing risk impact; and strengthening the risk management awareness and culture.
More specifically, you will:
- Assist with risk assessments, governance and oversight of the GWM US business front to back (F2B) risk profile
- Support GWM US Conduct Risk. Conflict of Interest risk, and Reputational Risk management.
• Analyze employee conduct issues, drive events deep dive/lessons learned review, monitor compliance with Reg BI, and ensure completeness of the Conflict of Interest Register
- Assist with cross-area/functional F2B deep dives of MLSIs/NFRIs, KPCs and testing results, internal and external events, and impact analysis of laws, rules, and regulations
- Support regulatory, audit inquiries, and other significant remediation efforts
- Prepare Governance Updates
- Understand and prepare data analysis related to Key Risk Indicators.
- Assist with the execution of the annual GWM US Risk and Control Self-Assessment ("RCSA") and Risk ID processes
Detailed salary information:
• Weehawken: the salary range for this role is $110000 to $157000
The expected salary range(s) for this role as of the date of this posting is/are based on factors including, but not limited to, experience, qualifications, education, location and skill level. This role may also be eligible for discretionary incentive compensation. For benefits information, please visit ubs.com/usbenefits.
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We’re committed to disability inclusion and if you need reasonable accommodation/adjustments throughout our recruitment process, you can always contact us.
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Your team
Your expertise
- FINRA Series 7 or willingness to obtain
- ideally 5+ years of financial services experience in risk management, operational risk management, regulatory supervision or compliance
- Experience providing business risk oversight across businesses in compliance with regulations and internal procedures
- Demonstrated knowledge and experience with:
• Risk frameworks
• Manage Issue closures and developing action plans aimed at remediating control gaps
• Control assessments
• Governance/ preparing executive level presentations
• Regulatory requirements and developments
- Team-orientated mindset with strong interpersonal skills, and the ability to manage conflict and pressure in a demanding environment
You are:
- Proactive and self-driven while demonstrating a strong work ethic with attention to detail and high-quality standards
- capable of prioritizing based on business demands
- Able to Influence and establish relationships with key stakeholders
- An effective communicator and a problem solver
- Proficient with Excel, Power Point, and Word
- Able to persuasively communicate complex issues
About us
We have a presence in all major financial centers in more than 50 countries.