GWM US Regional Compliance Officer (West)

UBS•Los Angeles, CA

34d•$140,000 - $188,000•Hybrid

About The Position

This role is for a US Regional Compliance Officer (West) within the Field Compliance team of Compliance and Operational Risk Control (CORC) for UBS Wealth Management US. The team is responsible for providing independent oversight and control over non-financial risks arising from UBS's business activities at a global, regional, divisional, and entity level. The position requires advising on compliance and regulatory matters within the region for the wealth management business, challenging business colleagues on policy and regulatory requirements, and promoting compliance-oriented solutions. It also involves ensuring a localized compliance presence to foster a strong culture of compliance, participating in business risk meetings, and engaging with key stakeholders to monitor regional activities for compliance and conduct risks. The role includes performing deep-dive reviews to identify weaknesses and recommend improvements, supporting the development and implementation of enhanced supervision plans, and assisting with the coordination of branch office exams by providing subject matter expertise and educating examiners on branch processes and personnel.

Requirements

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.
Curiosity to explore how AI can improve workflows, with sound judgment to validate outputs and align with policies, risk standards, and ethical use.

Responsibilities

Advise on compliance and regulatory matters within the region for the wealth management business.
Advise business colleagues on policy and regulatory requirements and challenge 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 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.