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Job Details

Americas Regulatory Compliance Tester

Company name

Nashville, TN

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Americas Regulatory Compliance Tester

UBS Financial Services



Job #667900766

Your role:

Are you investigative in nature? Do you know how to assess if a control process is well designed to effectively mitigate a risk? If so, we are looking for someone who can:

– assess a control design for risk effectiveness and test it for operating effectiveness

– contribute to risk frameworks being designed and operating effectively across the entire bank's risk landscape

– assess and challenge whether the control framework meets regulatory expectations

– plan, coordinate and perform actual testing fieldwork

– discuss and clear identified issues with responsible business stakeholders and agree remediation

– report and present findings

What we offer:

Together. That’s how we do things. We offer people around the world a supportive, challenging and diverse working environment. We value your passion and commitment, and reward your performance.

Keen to achieve the work-life agility that you desire? We're open to discussing how this could work for you (and us).

Take the next step:

Are you truly collaborative? Succeeding at UBS means respecting, understanding and trusting colleagues and clients. Challenging others and being challenged in return. Being passionate about what you do. Driving yourself forward, always wanting to do things the right way. Does that sound like you? Then you have the right stuff to join us. Apply now.

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 in the Americas Regulatory Compliance Review and Control's Testing team which is part of the Assurance Team embedded in the Global Compliance & Operational Risk Control (C&ORC) organization. We are a major program within UBS to ensure that we have independent testing and assurance as to the key controls that address our major risks, globally.

Your experience and skills:

You have:

– a strong background in banking and regulatory Compliance testing (monitoring) and/or experience of auditing

– experience in topics and regulatory rules such as Liquidity and Capital Plan rules (CCAR, REG YY, FBEPS/Enhanced Prudential Standards), Covered Funds and Proprietary Trading (Volcker Rule), Market Conduct Risk and in Risk Model Governance

You are:

– analytic, with the ability to identify control design weaknesses

– result-oriented and assertive (you don’t shy away from challenging situations)

– an excellent communicator; both orally and written

– team player and also the ability to deliver individually

About us:

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?

Your colleagues:

Job Reference #:


Business Divisions:

Corporate Center


Americas Regulatory Compliance Tester



Job Type:

Full Time

Country / State:

United States - Tennessee

Function Category:


Updated 05/16/2018

Company info

Website :

Company Profile
UBS draws on its 150-year heritage to serve private, institutional and corporate clients worldwide, as well as retail clients in Switzerland. We combine our wealth management, investment banking and asset management businesses with our Swiss operations to deliver superior financial solutions. Headquartered in Zurich and Basel, Switzerland, UBS has offices in more than 50 countries, including all major financial centers, and employs approximately 63,520 people. Under Swiss company law, UBS is organized as an Aktiengesellschaft, a corporation that has issued shares of common stock to investors. UBS AG is the parent company of the UBS Group (Group).

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