Compliance Officer - Mortgages

Your role
Are you ready to work in the second line of defense for the top global wealth manager and a $100bn bank? Can you build relationships and influence outcomes, as well as develop and implement innovative solutions? On the Compliance & Operational Risk Control team at UBS Global Wealth Management (GWM) you’ll be responsible for working with our business to identify and mitigate potential risks to UBS.

As the Compliance Officer – Mortgages Originations, your role will assist the Bank’s Chief Compliance Officer and Head of Products Compliance with ensuring that the bank stays in compliance with applicable laws, rules and regulations across residential and commercial mortgage business lines. You will partner with UBS Bank USA Compliance and Operational Risk colleagues and first line of defense colleagues within the bank.

Your role will require excellent communication and interpersonal skills, ability to challenge the business, and a desire to help the enterprise properly manage compliance and conduct risk.

• providing guidance and advice to the business mortgage groups on an on-going basis regarding changes in laws and regulations impacting UBS Bank USA
• influencing executives on key compliance and conduct risks and actions required to mitigate risk
• interaction with federal and state banking regulators and internal auditors
• leading an annual review of all compliance risks associated with the residential and commercial mortgage business lines
• strengthening and ensuring resilience in residential and commercial mortgage-related Compliance Management System pillars (policies, procedures, trainings, monitoring, complaints) for applicable UBS Bank USA products, processes, and personnel
• reporting to senior management within Legal, Compliance and the business regarding residential and commercial mortgage compliance matters related to UBS Bank USA

Detailed salary information:
Weehawken: the salary range for this role is $176000 to $229000. 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

Job Type Full Time

Job Reference # 333287

City Nashville, Raleigh

You will be working with the Bank's Chief Compliance Officer, Head of Products Compliance, Mortgages Compliance team, Bank Senior Compliance Officers (SCOs) and the Compliance Monitoring & Testing team, in the Group Compliance, Regulatory & Governance (GCRG) function of UBS Bank USA, based in Salt Lake City, UT and Weehawken, NJ. The GCRG team helps UBS ensure regulatory compliance with applicable consumer protection laws and regulations.

You will primarily have regular interaction with business and Compliance partners, senior management in the Business, and partnering with stakeholders from various business and control functions to ensure that the Bank remains in compliance with all applicable banking laws and regulations.

This team sits within the Governance Compliance Regulatory Group (GCRG) which aims to build trust, help safeguard our business, and support controlled growth and strive for new ways to proactively identify and control existing and emerging risks in a rapidly changing and increasingly digital world. The Compliance and Operational Risk (C&ORC) team helps accomplish this by providing independent oversight, challenge and control over the non-financial risks arising from UBS’s business activities across multiple levels to ensure compliance, conduct and operational risks are understood, owned, and managed to the Firm's risk appetite.

As part of the second line of defense, Wealth Management Americas Compliance identifies and assesses compliance, regulatory and reputational risk by providing independent oversight and challenge of risks, and establishing independent frameworks for risk assessment, measurement, aggregation, and reporting, protecting against non-compliance with applicable laws and regulations. This team aids in designing and implementing controls, policies,…