Examiner, Rules Based Testing Team

Your role

Are you an expert on risk? Do you know how to Identify, analyze and assess regulatory risks? We're looking for someone like that to:
• support the planning, coordination, and delivery of our annual rules testing program
• maintain a working knowledge of current FINRA, SEC, and state regulatory issues, as well as UBS policies and procedures
• identify and evaluate the effectiveness of existing controls
• prepare detailed work papers to support the results of the testing program
• structure and propose remedial actions to address identified issues
• report identified issues to UBS senior management and articulate an independent and balanced opinion in written and oral form

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

The Rules Based Testing Team sits within the Governance Compliance Regulatory Group (GCRG) which aims to build trust, help safeguard our business, and support controlled growth and strive for new ways to proactively identify and control existing and emerging risks in a rapidly changing and increasingly digital world. The Compliance and Operational Risk (C&ORC) team helps accomplishes this by providing independent oversight, challenge and control over the non-financial risks arising from UBS's business activities across multiple levels to ensure compliance, conduct and operational risks are understood, owned, and managed to the Firm's risk appetite. As part of the second line of defense, Wealth Management Americas Compliance identifies and assesses compliance, regulatory and reputational risk by providing independent oversight and challenge of risks, and establishing independent frameworks for risk assessment, measurement, aggregation, and reporting, protecting against non-compliance with applicable laws and regulations. This team aids in designing and implementing controls, policies, and procedures, implementing compliance training, working closely with independent testing teams, liaising with surveillance, conducting risk assessments, partnering with other parts of the Division on surveillance, investigations and regulatory examinations and inquiries.

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

• a university degree in finance, economics, business administration or numerical discipline and / or an advanced degree (MBA, JD etc.)
• experience in the financial services industry with in-house audit and / or compliance testing at a financial institution or examination experience at a financial industry regulator
• knowledge of financial products and services offered by broker dealers
• knowledge of U.S. securities laws & regulations as well as SRO rules
• a great communicator, reliable and resilient, team-oriented, highly-organized, detail-oriented and able to drive tasks to closure

*LI-UBS

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.