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 Lead Compliance Officer - Mortgages, 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