Compliance and Operational Risk Specialist
Job Reference #
Do you understand operational risk frameworks with the ability to challenge and oversee a wide range of operational risks?
Do you know how to work well within a team to develop and deliver risk-based solutions?
Are you a natural communicator who has a curious mindset?
We're looking for somebody who will:
– support the Group Functions by providing advice over operational risk control, independently challenge and assess the function’s risk environment, ensuring all compliance, conduct and operational risks are understood, owned and managed to the firm's risk appetite
– work with the Group Functions to identify and design the most effective suite of SOX controls, assessing SOX testing issues and reporting to the SOX 404 committee.
– perform comprehensive annual operational risk assessments for a variety of operational risk types.
– review and challenge the internal risk self-assessments performed by the Group Functions, to ensure the functions are effectively managing operational risk within appetite
– be a Subject Matter Expert for a range of operational risk types, using this knowledge to 1) ensure that the correct controls, issues and events are correctly mapped in the systems, 2) work with the function in identifying and designing controls where gaps are identified and 3) participating in various operational risk forums and committees.
– continuously manage and monitor material issues, ensuring adequate escalation where remediation is not on track, providing independent advice to the Group Functions over the remediation activities and ensuring timely reporting of such issues to management
– be a gatekeeper for the Operational Risk Taxonomy ensuring that controls, risk issues and risks events are correctly mapped and are appropriately represented
You’ll be working in the C&ORC Group Functions, Risk & Finance Operational Risk team. Our role is in second line of defence, responsible for the challenge, oversight, implementation, and compliance of the operational risk control
framework within the Group Functions. The operational risk taxonomy coverage related to the role is as follows:
• Employment Law and Human Resources Practices
• Corporate and Legal Entity Governance
• Management of the processes for Litigation / Whistleblowing / Investigation cases
The relevant Group Functions related to the role is as follows:
• Human Resources
• Board of Directors
• Group CEO Management
• Group Regional President Functions
• Group Compliance Regulatory and Governance
• Communications & Branding and UBS and Society
– experience and knowledge of internal control design and risk management, with a proven track record of successful delivery of both a day-to-day mandate, change initiatives and able to meet fixed deadlines
– undertaken independent risk assessments on operational risk, issues, events and remediation projects
– coordinated with other risk control functions, internal audit or external reviews to develop a complete and integrated view of risk
– an established track record of escalation and challenge
– creative, independently minded, strong technically with problem solving/analytical and strong influencing skills
– a great communicator both orally and in writing (and you know how to handle challenging situations)
– team-orientated, while able to complete tasks independently and autonomously
– analytical, with the ability to provide practical solutions for minimizing risk
– result-oriented and assertive (you don’t shy away from challenging situations)
– expresses a keen interest in innovation and driving change
– good understanding of the core values and principles of UBS and how they link into the “purpose and vision”
Expert advice. Wealth management. Investment banking. Asset management. Retail banking in Switzerland. And all the support functions. That's what we do. And we do it for private and institutional clients as well as corporations around the world.
We are about 60,000 employees in all major financial centers, in more than 50 countries. Do you want to be one of us?
We're a truly global, collaborative and friendly group of people. Having a diverse, inclusive and respectful workplace is important to us. And we support your career development, internal mobility and work-life balance. If this sounds interesting, apply now.
UBS Recruiting Poland
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.