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Your role

Do you have experience in providing compliance or risk management support to advisory services or a business division? Do you enjoy advising and supporting front office colleagues to ensure compliance with firm’s policies and procedures? Are you confident when it comes to speaking up for what is right and challenging at all levels?

We are looking for a compliance officer to:

• support the Compliance Officer in providing coverage to the Alternative Investment business by reviewing and updating policies, procedures and trainings
• assist with inquiries from the Alternatives Investments business and field regarding the compliance policies and their applicability
• conduct non-financial risk assessments for relevant laws, rules and regulations, by reviewing and assessing controls to determine the design and operating effectiveness of those controls
• participate in reviewing new business initiatives and other approvals for hedge funds, private equity, fund of funds and non-registered funds business to ensure compliance with the regulatory environment and approved framework
• review and update internal policies to reflect regulatory or business changes
• perform deep dive and thematic reviews to provide forward-looking analysis of relevant risks
• work collaboratively and effectively with other Compliance team members by assisting in other internal compliance processes

Your Career Comeback

We are open to applications from career returners. Find out more about our program on ubs.com/careercomeback.

Your team

You’ll be working in the Group Compliance, Regulatory and Governance team in Weehawken, NJ (Client Solutions). We support the Wealth Management US business by partnering with them to effectively manage regulatory risk in an environment of collaboration and constructive challenge. Our duties include implementing the Compliance Risk Framework and to ensure regulatory and non-financial risks are identified, properly assessed and recorded. You'll play an important role in helping us administering the Compliance program, developing risk mitigating measures, controls and ensuring adequate remediation plans are in place. You'll also collaborate with global colleagues to ensure that best practices are being shared around the region/globe.

Your Experience and Skills:

• proven financial services compliance or risk advisory experience for ideally 5-7 years
• good working knowledge of the regulatory environment for Alternative Investments, advisory services and complex products (i.e., Reg D offerings, private funds, hedge funds, REITs/BDCs, 1940 Investment Advisers Act)
• reliable and resilient (challenging situations and conversations don’t sway you)
• sound know-how in the analysis of business processes
• ability to collaborate across the organization, influence key stakeholders, and driving change

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

• proven financial services compliance or ideally 5+ years of risk advisory experience
• good working knowledge of the regulatory environment for registered fund and registered investment advisers (i.e., Investment Company Act of 1940 and Investment Advisers Act of 1940)reliable and resilient (challenging situations and conversations don’t sway you)
• sound know-how in the analysis of business processes
• ability to collaborate across the organization, influence key stakeholders, and driving change
• UBS-MOGUL
• LI-UBS
• UBS-ACCA

About us

UBS is the world’s largest and 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.

With more than 70,000 employees, we have a presence in all major financial centers in more than 50 countries. Do you want to be one of us?

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.

Compliance Officer | UBS - Experienced professionals - job boards