CUSO Compliance QA, Testing and Monitoring Officer
Nashville, TN 37211 In-Person
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Job Description
Your role
Are you ready to partner with key stakeholders across our business to ensure we remain in compliance with all applicable laws and regulations?
We are looking for someone who can:
• Experience in a compliance, audit, assurance or internal controls function within a complex financial institution
• Lead compliance testing reviews of applicable laws, rules, regulations, and controls
• Develop and document detailed testing scripts to assess adherence to compliance and risk policies, procedures and bank regulatory requirements and support the quality assurance reviews process
• Align testing and monitoring plans to annual Compliance Risk Assessments and incorporate regulatory priorities accordingly
• Evaluate the design and operating effectiveness of controls, assess identified findings, determine root causes and propose risk ratings in accordance with internal guidelines and standards
• Evaluate the design and alignment of Compliance Testing and Monitoring reviews
• Prepare detailed work papers to support the results of the testing and quality assurance reviews
• Develop effective relationships within compliance and with other key stakeholders in the business and risk areas
• Effectively communicate with stakeholders and management at various levels
• Provide leadership, guidance and support for junior staff
• Interpret new and/or existing laws, rules and regulations, analyze existing policies, procedures, processes and controls to determine gaps, Develop knowledge of current Federal Reserve Board, OCC, FFIEC, FINRA, SEC and state regulatory issues, as well as the company's written supervisory policies and procedures
• Participate/drive knowledge sharing and best practice training for the team
• 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 that align with our compliance and risk management culture
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
C&ORC is part of the Group Compliance, Regulatory & Governance (GCRG) function. The GCRG function is the center for compliance and operational risk control, governmental and regulatory affairs as well as investigations and governance matters. C&ORC aims to ensure that all compliance, conduct and operational risks are understood, owned and managed to the firm's risk appetite. C&ORC is responsible for providing independent oversight and control over the compliance and operational risks arising from UBS's business activities at a global, regional, divisional and entity level.
The Central CUSO Compliance Testing and Monitoring team operates as the 2nd line of Defense and is a key component of the Risk Management Framework. The Compliance Testing teams conduct risk-based independent testing activities for their respective business divisions and support functions within CUSO. The Quality Assurance Team is part of the CUSO Compliance Testing and Monitoring program and provides independent and objective assessment on the Compliance Testing and Monitoring reviews performed.
You will be part of the CUSO Compliance Testing and Monitoring team that directly reports into the Head of CUSO Monitoring and Testing for the Americas. You will partner with stakeholders from various business and control functions to ensure that the Bank remains in compliance with all applicable banking laws and regulations. This is a driven and diverse team of professionals, with the responsibility for conducting Second Line of Defense assurance activities for the Combined US Operations (CUSO) of UBS.
Your expertise
Qualifications:
• A university degree, a graduate degree is preferred
• Ideally 8+ years of experience, preferably in compliance testing, audit, assurance or other internal control function
• Working knowledge of banking laws/regulations, specifically consumer compliance laws/regulations, preferred
• Recent experience in managing or leading compliance testing reviews, audits and/or quality assurance reviews for a banking institution is preferred
• Knowledge of risk and control assessments and how the results of such assessments influence the risk-based prioritization of testing programs
• Demonstrated ability to understand effective and efficient risk controls and gaps within large organizations
• Excellent written and oral communication skills with the ability to articulate logically and precisely
• Strong organizational skills
• Analytical and detail-oriented
• Leadership experience preferred
• 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 internal and external 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)
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.
Are you ready to partner with key stakeholders across our business to ensure we remain in compliance with all applicable laws and regulations?
We are looking for someone who can:
• Experience in a compliance, audit, assurance or internal controls function within a complex financial institution
• Lead compliance testing reviews of applicable laws, rules, regulations, and controls
• Develop and document detailed testing scripts to assess adherence to compliance and risk policies, procedures and bank regulatory requirements and support the quality assurance reviews process
• Align testing and monitoring plans to annual Compliance Risk Assessments and incorporate regulatory priorities accordingly
• Evaluate the design and operating effectiveness of controls, assess identified findings, determine root causes and propose risk ratings in accordance with internal guidelines and standards
• Evaluate the design and alignment of Compliance Testing and Monitoring reviews
• Prepare detailed work papers to support the results of the testing and quality assurance reviews
• Develop effective relationships within compliance and with other key stakeholders in the business and risk areas
• Effectively communicate with stakeholders and management at various levels
• Provide leadership, guidance and support for junior staff
• Interpret new and/or existing laws, rules and regulations, analyze existing policies, procedures, processes and controls to determine gaps, Develop knowledge of current Federal Reserve Board, OCC, FFIEC, FINRA, SEC and state regulatory issues, as well as the company's written supervisory policies and procedures
• Participate/drive knowledge sharing and best practice training for the team
• 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 that align with our compliance and risk management culture
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
C&ORC is part of the Group Compliance, Regulatory & Governance (GCRG) function. The GCRG function is the center for compliance and operational risk control, governmental and regulatory affairs as well as investigations and governance matters. C&ORC aims to ensure that all compliance, conduct and operational risks are understood, owned and managed to the firm's risk appetite. C&ORC is responsible for providing independent oversight and control over the compliance and operational risks arising from UBS's business activities at a global, regional, divisional and entity level.
The Central CUSO Compliance Testing and Monitoring team operates as the 2nd line of Defense and is a key component of the Risk Management Framework. The Compliance Testing teams conduct risk-based independent testing activities for their respective business divisions and support functions within CUSO. The Quality Assurance Team is part of the CUSO Compliance Testing and Monitoring program and provides independent and objective assessment on the Compliance Testing and Monitoring reviews performed.
You will be part of the CUSO Compliance Testing and Monitoring team that directly reports into the Head of CUSO Monitoring and Testing for the Americas. You will partner with stakeholders from various business and control functions to ensure that the Bank remains in compliance with all applicable banking laws and regulations. This is a driven and diverse team of professionals, with the responsibility for conducting Second Line of Defense assurance activities for the Combined US Operations (CUSO) of UBS.
Your expertise
Qualifications:
• A university degree, a graduate degree is preferred
• Ideally 8+ years of experience, preferably in compliance testing, audit, assurance or other internal control function
• Working knowledge of banking laws/regulations, specifically consumer compliance laws/regulations, preferred
• Recent experience in managing or leading compliance testing reviews, audits and/or quality assurance reviews for a banking institution is preferred
• Knowledge of risk and control assessments and how the results of such assessments influence the risk-based prioritization of testing programs
• Demonstrated ability to understand effective and efficient risk controls and gaps within large organizations
• Excellent written and oral communication skills with the ability to articulate logically and precisely
• Strong organizational skills
• Analytical and detail-oriented
• Leadership experience preferred
• 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 internal and external 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)
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.
About UBS
Learn More About UBSUBS Group AG is a Swiss multinational investment bank and financial services company founded in 1862 and headquartered in Zurich, Switzerland. UBS is one of the largest and most respected financial institutions in the world, with a presence in over 50 countries. The company offers a wide range of financial services to its clients, including wealth management, investment banking, asset management, and retail banking. UBS is committed to providing its clients with innovative and effective financial solutions that meet their unique needs and goals.
