Regulatory & Compliance Specialist
Apply NowCompany: UBS
Location: Raleigh, WV 25911
Description:
Your role
Do you have experience dealing with auditors and regulators on technical subject matter?
Are you able to easily understand technical concepts and translate it into terms that people with no prior technical background can understand?
Are you able to review / challenge and improve proposed responses sent to auditors and regulators to ensure clear messaging and minimize potential concerns?
Are you able to coordinate across multiple stakeholders to meet aggressive deadlines?
We're looking for a Regulatory Engagement Specialist to:
join a team representing the single point of contact for Americas regulatory inquiries into Technology Services
prepare and educate on how best to interact with auditors and regulators
support the overall regulatory engagement lifecycle (i.e. preparing for upcoming exams / meetings, supporting fieldwork, vetting observations/findings, and working to review / challenge remediation approaches)
organize meetings, document the outcomes, and generally track status of audit and regulatory engagements
review proposed audit and regulatory submissions, and challenge/transform content as needed to ensure consistency and minimize potential confusion/issues
critically analyze potential findings to identify whether there is an actual risk , maintain regulatory submission document repository and support regulatory submission approval processes
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
You'll be working within the Strategic Risk Management Regulatory Engagement team which is part of the Technology Services (TS) organization. You will partner closely with the global representatives of the various Technology Services functional areas, GOTO regional regulatory contacts, and Regulatory Affairs in addressing requests from auditors and regulators.
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.
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Your expertise
ideally, 5+ years of external/internal audit experience or experience as a regulatory IT examiner
degree in computer science, information systems or a related field
knowledge of IT standards, guidelines, processes, and controls
hands-on technical experience with technical platforms or in supporting cybersecurity controls
ability to drive things forward and to communicate on different hierarchical levels
ability to work with a diverse team of individuals across differing functional disciplines, cultures, time zones & regions
expertise in creating/generating PowerPoint slide content suitable for regulators
a good communicator who can write and speak clearly, concisely, and convincingly with strong attention to detail and ability to meet due dates
"At UBS, we appreciate our Veterans and are committed to providing opportunities in Financial Services."
*LI-UBS
*UBS-MOGUL
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.
Do you have experience dealing with auditors and regulators on technical subject matter?
Are you able to easily understand technical concepts and translate it into terms that people with no prior technical background can understand?
Are you able to review / challenge and improve proposed responses sent to auditors and regulators to ensure clear messaging and minimize potential concerns?
Are you able to coordinate across multiple stakeholders to meet aggressive deadlines?
We're looking for a Regulatory Engagement Specialist to:
join a team representing the single point of contact for Americas regulatory inquiries into Technology Services
prepare and educate on how best to interact with auditors and regulators
support the overall regulatory engagement lifecycle (i.e. preparing for upcoming exams / meetings, supporting fieldwork, vetting observations/findings, and working to review / challenge remediation approaches)
organize meetings, document the outcomes, and generally track status of audit and regulatory engagements
review proposed audit and regulatory submissions, and challenge/transform content as needed to ensure consistency and minimize potential confusion/issues
critically analyze potential findings to identify whether there is an actual risk , maintain regulatory submission document repository and support regulatory submission approval processes
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
You'll be working within the Strategic Risk Management Regulatory Engagement team which is part of the Technology Services (TS) organization. You will partner closely with the global representatives of the various Technology Services functional areas, GOTO regional regulatory contacts, and Regulatory Affairs in addressing requests from auditors and regulators.
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
ideally, 5+ years of external/internal audit experience or experience as a regulatory IT examiner
degree in computer science, information systems or a related field
knowledge of IT standards, guidelines, processes, and controls
hands-on technical experience with technical platforms or in supporting cybersecurity controls
ability to drive things forward and to communicate on different hierarchical levels
ability to work with a diverse team of individuals across differing functional disciplines, cultures, time zones & regions
expertise in creating/generating PowerPoint slide content suitable for regulators
a good communicator who can write and speak clearly, concisely, and convincingly with strong attention to detail and ability to meet due dates
"At UBS, we appreciate our Veterans and are committed to providing opportunities in Financial Services."
*LI-UBS
*UBS-MOGUL
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.