GWM US Regional Compliance Officer; West

Key Responsibilities

Are you familiar with the Wealth Management industry, and able to provide analysis on the associated suitability, supervision, and conduct risks? Are you interested by legal and regulatory nuances, and do you enjoy solving complex problems? Are you an organized and motivated individual who enjoys making a positive difference within a collaborative team environment?

Full Time

338890

Los Angeles

Are you familiar with the Wealth Management industry, and able to provide analysis on the associated suitability, supervision, and conduct risks? Are you interested by legal and regulatory nuances, and do you enjoy solving complex problems? Are you an organized and motivated individual who enjoys making a positive difference within a collaborative team environment?

We're looking for someone who can:

• advise on compliance and regulatory matters within the region for the wealth management business, advising business colleagues on policy and regulatory requirements and challenging them to pursue compliance-oriented solutions
• ensure a localized presence of compliance within the region to reinforce a strong culture of compliance
• participate in business risk meetings and engage with key business stakeholders to monitor activities within the region to ensure compliance and conduct risks are identified and appropriately addressed
• perform deep-dive reviews, evaluating processes and controls to be able to identify potential weaknesses and recommend improvements
• support the development, implementation, and oversight of enhanced supervision plans
• assist with the coordination of the branch office exams within the region, providing subject matter expertise on regulatory requirements and ensuring compliance examiners are properly educated on branch processes, personnel and nuanced activities

You will be working as part of the Field Compliance team within Compliance and Operational Risk Control (CORC) for UBS Wealth Management US. Our team is responsible for providing independent oversight and control over the non-financial risks arising from UBS's business activities at a global, regional, divisional and entity level.

• previous experience in finance, wealth management, compliance, audit, supervision, or risk preferred
• good understanding of US Wealth Management industry rules and regulations (e.g., FINRA, SEC, CFTC, OCC, NFA)
• a strong work ethic and attention to detail with good organizational and time management skills
• able to make decisions, resolve conflicts and exercise sound judgment under pressure
• excellent written and verbal communication skills, with the ability to persuasively communicate complex issues succinctly and clearly
• travel up to 10% may be required
• You’re curious to explore how AI can improve how we build, deliver, and optimize workflows. You do this with sound judgment – validating outputs and aligning with policies, risk standards, and ethical use

UBS is a leading and truly global wealth manager and the leading universal bank in Switzerland. We also provide diversified asset management solutions and focused investment banking capabilities. Headquartered in Zurich, Switzerland, UBS is present in more than 50 markets around the globe.

We know that great work is never done alone. That’s why we place collaboration at the heart of everything we do. Because together, we’re more than ourselves. Want to find out more? Visit

The indicative gross base salary range as a full-time equivalent role:

• United States
  - California
  - Los Angeles min USD 140000 - max USD 188000 /annum

The expected salary for this role will be determined by relevant factors which may include but are not limited to,…