UBS
GWM UBS Financial Services Inc. (FSI) Operational Risk Controller
UBS, Weehawken, New Jersey, United States
Overview
GWM UBS Financial Services Inc. (FSI) Operational Risk Controller Role posted to support UBS Global Wealth Management (GWM) as part of the Operational Risk Control (ORC) team in the United States. You’ll work in the second line of defense to identify and mitigate operational risks to UBS GWM business processes and platforms, influence outcomes, and support innovative solutions.
Responsibilities
Review and challenge the First Line of Defense’s risk-taking activities and risk assessments, with emphasis on strategic growth areas of the business and technology change portfolio.
Evaluate new products and services from an operational risk perspective front-to-back and provide consultation on change initiatives, business objectives, processes, risk events, and controls.
Provide independent views on the Non-Financial Risk (NFR) profile of GWM US through regular reporting input and governance forums, ensuring transparent oversight of key risks and required mitigation.
Proactively identify risk issues, drive remediation activities, and continuously improve Non-financial Risk (NFR) management by performing/supporting risk assessments, deep dives, and thematic reviews, particularly on ORC taxonomies (e.g., transaction processing and execution, cyber and information security, technology stability, and resilience).
Execute the quarterly Risk Control Self-Assessment (RCSA) review and challenge process, bi-annual key procedural control instance (KPCI) assessments, control validation, and drive specific risk activities as needed.
Build and maintain constructive relationships with colleagues and relevant stakeholders at all levels to ensure effective risk management across the dynamic GWM US business.
Salary Salary information: Weehawken, New York — the salary range for this role is $176,000 to $229,000. This range is based on factors including experience, qualifications, education, location, and skill level. The role may be eligible for discretionary incentive compensation.
Your team You will be part of a team of Operational Risk Control professionals within Group Compliance, Regulatory & Governance (GCRG). The team provides independent oversight, challenge, and control over non-financial risks arising from UBS’s business activities across multiple levels to ensure compliance, conduct, and risk management. It helps design and implement controls, policies, and procedures, supports operational risk training, and collaborates with independent testing teams and risk assessments.
Your expertise
Bachelor's degree or higher is preferred.
Ideally 7+ years of operational risk experience within a financial institution (second line of defense – operational risk control, first line – business risk for Wealth Management, or third line – audit).
Experience assessing the operational risk impact of digital execution platforms and services changes, AI solutions, and large-scale front-to-back technology changes from order entry to trade settlement and reporting.
Expertise in reviewing business processes, systems, and controls for cyber risks and resilience.
Ability to drive innovation, implement new practices, and experience interacting with regulators.
Proven leadership experience in managing projects and initiatives.
Strong organizational, analytical, communication, and influencing skills.
Broad understanding of financial products (securities, derivatives, advisory, managed programs) and how they are distributed to individual clients.
Professional certifications (e.g., CIA, CRMA, CISA, CRISC, CISM, CISSP, CCSP) are a plus.
About Us UBS is the world’s largest and the only truly global wealth manager. We operate through four business divisions: Global Wealth Management, Personal & Corporate Banking, Asset Management and the Investment Bank. We have a presence in all major financial centers in more than 50 countries.
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.
Disclaimer / Policy Statements UBS is an Equal Opportunity Employer. We respect and seek to empower each individual and support the diverse cultures, perspectives, skills and experiences within our workforce.
Details
Seniority level: Not Applicable
Employment type: Full-time
Job function: Legal, Finance, and Accounting/Auditing
Industries: Banking, Financial Services, and Investment Banking
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GWM UBS Financial Services Inc. (FSI) Operational Risk Controller Role posted to support UBS Global Wealth Management (GWM) as part of the Operational Risk Control (ORC) team in the United States. You’ll work in the second line of defense to identify and mitigate operational risks to UBS GWM business processes and platforms, influence outcomes, and support innovative solutions.
Responsibilities
Review and challenge the First Line of Defense’s risk-taking activities and risk assessments, with emphasis on strategic growth areas of the business and technology change portfolio.
Evaluate new products and services from an operational risk perspective front-to-back and provide consultation on change initiatives, business objectives, processes, risk events, and controls.
Provide independent views on the Non-Financial Risk (NFR) profile of GWM US through regular reporting input and governance forums, ensuring transparent oversight of key risks and required mitigation.
Proactively identify risk issues, drive remediation activities, and continuously improve Non-financial Risk (NFR) management by performing/supporting risk assessments, deep dives, and thematic reviews, particularly on ORC taxonomies (e.g., transaction processing and execution, cyber and information security, technology stability, and resilience).
Execute the quarterly Risk Control Self-Assessment (RCSA) review and challenge process, bi-annual key procedural control instance (KPCI) assessments, control validation, and drive specific risk activities as needed.
Build and maintain constructive relationships with colleagues and relevant stakeholders at all levels to ensure effective risk management across the dynamic GWM US business.
Salary Salary information: Weehawken, New York — the salary range for this role is $176,000 to $229,000. This range is based on factors including experience, qualifications, education, location, and skill level. The role may be eligible for discretionary incentive compensation.
Your team You will be part of a team of Operational Risk Control professionals within Group Compliance, Regulatory & Governance (GCRG). The team provides independent oversight, challenge, and control over non-financial risks arising from UBS’s business activities across multiple levels to ensure compliance, conduct, and risk management. It helps design and implement controls, policies, and procedures, supports operational risk training, and collaborates with independent testing teams and risk assessments.
Your expertise
Bachelor's degree or higher is preferred.
Ideally 7+ years of operational risk experience within a financial institution (second line of defense – operational risk control, first line – business risk for Wealth Management, or third line – audit).
Experience assessing the operational risk impact of digital execution platforms and services changes, AI solutions, and large-scale front-to-back technology changes from order entry to trade settlement and reporting.
Expertise in reviewing business processes, systems, and controls for cyber risks and resilience.
Ability to drive innovation, implement new practices, and experience interacting with regulators.
Proven leadership experience in managing projects and initiatives.
Strong organizational, analytical, communication, and influencing skills.
Broad understanding of financial products (securities, derivatives, advisory, managed programs) and how they are distributed to individual clients.
Professional certifications (e.g., CIA, CRMA, CISA, CRISC, CISM, CISSP, CCSP) are a plus.
About Us UBS is the world’s largest and the only truly global wealth manager. We operate through four business divisions: Global Wealth Management, Personal & Corporate Banking, Asset Management and the Investment Bank. We have a presence in all major financial centers in more than 50 countries.
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.
Disclaimer / Policy Statements UBS is an Equal Opportunity Employer. We respect and seek to empower each individual and support the diverse cultures, perspectives, skills and experiences within our workforce.
Details
Seniority level: Not Applicable
Employment type: Full-time
Job function: Legal, Finance, and Accounting/Auditing
Industries: Banking, Financial Services, and Investment Banking
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