Compliance Officer – Deposits & Payments - Military Veterans
at UBS Financial Services, Inc.
Are you ready to work in the second line of defense for the top global wealth manager and a $100bn bank? Can you build relationships and influence outcomes, as well as develop and implement innovative solutions? On the Compliance & Operational Risk Control team at UBS Global Wealth Management (GWM) you’ll be responsible for working with our business to identify and mitigate potential risks to UBS.
As the Compliance Officer – Deposits & Payments, your role will assist the Bank’s Chief Compliance Officer and Head of Bank Products Compliance with ensuring that the bank stays in compliance with applicable laws, rules and regulations across the various deposit products and payment services offered by the Bank. You will partner with UBS Bank USA Compliance and Operational Risk colleagues and first line of defense colleagues within the bank. Your role will require excellent communication and interpersonal skills, ability to challenge the business, and a desire to help the enterprise properly manage compliance and conduct risk.
• providing guidance and advice to the business deposits group on an on-going basis regarding changes in laws and regulations impacting UBS Bank USA and influencing executives on key compliance and conduct risks and actions required to mitigate risk
• interaction with federal and state banking regulators and internal auditors
• leading an annual review of all compliance risks associated with the deposits and payments business lines and evaluating and providing consultation on new initiatives, business objectives, processes, risk events, controls, and/or monitoring
• working with Legal personnel to determine accurate process requirements and business personnel to ensure appropriate process implementation to ensure UBS adheres to consumer protection laws
• strengthening and ensuring resilience in deposits and payments Compliance Management System pillars (policies, procedures, trainings, monitoring, complaints) for applicable UBS Bank USA products, processes, and personnel
Nashville, IN
At UBS Financial Services, we appreciate our veterans and are committed to providing opportunities in Financial Services. That‘s why we‘re interested in meeting talented individuals like you for our customized post-military programs!
Veterans Associate Program (VAP):
- 22-Week Internship in-person NYC/NJ (Application window is now closed)
- Provide tailored training, development, networking and mentoring opportunities for degreed transitioning veterans
- Divisionally aligned rotations across Global Wealth Management, the Investment Bank and Asset Management
- Key hiring areas: Global Wealth Management, Investment Banking, Asset Management
Enlisted Veterans Apprenticeship Program (EVAP):
- Provide tailored training and development for transitioning veterans pursuing their degree
- Full time apprenticeship across Wealth Advice Center and Group Functions
- Key hiring areas: Wealth Advice Center, Risk, Compliance, Wealth Management Operations, Investment Bank Operations and Corporate Functions opportunities.
Military Spouse Program
- Provide hybrid and remote full-time opportunities to the spouses of active-duty service members
- Tailored training and development for military spouses
- Opportunities across all business divisions
From gaining new experiences in different roles to acquiring fresh knowledge and skills – at UBS we believe that you should never stop growing and learning because life never stops teaching. We know that it's our people – with their unique backgrounds, skills, experience levels and interests – who drive our ongoing success. Ready to be part of #teamUBS and make an impact? Apply today!