Key competencies and responsibilities:
• Champion risk management in partnership with the Business Areas
• Lead risk management interaction with key business partners (Credit, Compliance, Legal, Finance, Risk, etc.) and internal auditors/external examiners
• Monitor and report on the overall compliance and operational risk portfolio
• Actively support risk-related committees (i.e., Operating Effectiveness, Operating Risk, Enterprise Risk)
• Prepare 1LOD monthly report on the status of the Sales and Service Framework
• Design 1st LOD testing process/plan to evidence compliance with regulations and effectiveness of controls
• Partner which 1LOD quality assurance and quality control team on Sales and Service testing
• Manage and complete the Business Risk and Control Assessments and partner with cross functions teams (product 2nd LOD finance, ops, etc.) to incorporate comprehensive analysis of the assessments
• Design Supervisory procedures and monitoring of sales staff to verify they are in compliance with licensing rules and regulations
• Work with training manager to verify that a comprehensive training plan is in place annually and needs based training has been identified
• Track, report and coordinate closure of identified issues
• Assist and lead issue resolution/remediation across functions (as pertain to this area)
• Enhance the Business Risk Framework for all types of Risk

Detailed salary information:
• Weehawken: the salary range for this role is $100000 to $130000
The expected salary range(s) for this role as of the date of this posting is/are based on factors including, but not limited to, experience, qualifications, education, location and skill level. This role may also be eligible for discretionary incentive compensation. For benefits information, please visit ubs.com/usbenefits.