at UBS
Bulge Bracket Investment BanksPosted 11 days ago
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**Registered Client Associate:** Seasoned professional required to advise on wealth management compliance. Key responsibilities: regional compliance guidance, risk management, regulatory advice, process reviews, and exam coordination. Leiden experience, deep industry knowledge, and strong problem-solving skills needed. Familiarity with suitability, supervision, and conduct risks. Work in a collaborative, organized team.
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Full Job Description
| Are you familiar with 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: advise on 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 ensure a localized presence of compliance within the region to reinforce a strong culture of compliance participate in business risk meetings and engage with key business stakeholders to monitor 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 support the development, implementation, and oversight of enhanced supervision plans 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 | Show more GWM US Regional Compliance Officer (West) |
