Regional Wealth Management Compliance Officer




Multiple Locations


Position summary

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

Why you should apply for a job to UBS:

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