Branch Examiner

Key Skills

Alteryx, Analytical and Problem solving, Business Analytics, Data science techniques, Data Visualization, Effective communication skills, Management, Operations, PowerBI

Job Description

We're looking for someone who can:

review and research branch office activities to identify red flag issues and determine compliance with our and regulatory rules and procedures

• communicate with branch managers and sales support personnel regarding office procedures and financial advisor activity in a high-pressure environment
• prepare detailed work papers to support the results of the testing program and synthesize the result of the testing program for communication to senior management
• maintain a working knowledge of current FINRA, SEC and state regulatory issues, as well as our own written supervisory procedures
• productively work from home full-time, pro-actively communicate with colleagues located around the country and travel for work on a regular basis (approximately 30% travel) primarily throughout your geographic region

Your team

You will be working as part of our Branch Review Group, a unit within Compliance and Operational Risk Control (C&ORC) for our Global Wealth Management US. Our team conducts annual, regulatory mandated inspections of our branch offices nationwide. We are responsible for conducting independent and rigorous branch exams to ensure adherence to applicable regulations and internal policies and procedures.

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

• 3+ years’ work experience
• desire to learn a range of data science competences including programming languages, data preparation and visualization tools such as Alteryx and Tableau
• strong business analysis and logical problem solving skills and excellent attention to detail
• ability to build relationships with key stakeholders working with them in an agile manner to develop innovative data solutions
• familiarity with agile concepts and experience in their application and a working knowledge of key data science tools such as Alteryx and Power BI
• an understanding of Compliance and Operational Risk control’s role within the firm

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?

How we hire

This role requires an assessment on application. Learn more about how we hire: www.ubs.com/global/en/careers/experienced-professionals.html

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.