UBS

Lead and conduct compliance and risk audits, assess controls, and report findings to senior management. | 5+ years internal audit or compliance experience in financial services with strong analytical and communication skills. | Your role Are you a sharp evaluator of risk? Can you investigate complex situations and propose solutions? We're looking for someone like that who can: • lead or conduct reviews and audits of specific business areas, provide practical, innovative and value-added solutions to issues identified • drive or work as a team member on reviews and audits, including thematic and front-to-back • analyze and assess risks and barriers to delivery assumed by both the business and support functions • identify and evaluate the effectiveness of controls designed to address those risks • prepare reports of audit findings for UBS senior management, monitor the results, risk profile and developments across Compliance programs and topics (e.g. compliance testing and monitoring, employee and market conduct, suitability and conflicts, etc) and provide input for planning sessions • successfully collaborate with peers in and across audit teams • builds-up and continuously maintains sufficient knowledge of organizational and governance structure, of products and processes, of legal and regulatory requirements, as well as developing professional skills and experience, to allow for an effective and professional mandate execution Detailed salary information: • Weehawken, New York: the salary range for this role is $119000 to $156000 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 ubs.com/usbenefits. Job Type Full Time Job Reference # 329110BR City New York, Raleigh, Weehawken Your team You will be working in the Americas Compliance, Operational Risk Control (CORC) audit team within Group Internal Audit (GIA). The team is focused on risk assessing and auditing second line of defense processes and the control environment related to compliance and non-financial risk topics. GIA is an independent function that supports UBS in achieving its strategic, operational, financial and compliance objectives. We do this by assessing key processes as well as governance, risk management and the control environment within all business divisions and Corporate Center functions globally. We are independent in our work and report directly to the Chairman of the Board of Directors and the Audit Committee. We are a talent powerhouse that attracts and develop the best people by driving career growth in and outside the department. Our team is responsible for auditing the Group Compliance and Operational Risk Control (GCORC) in Americas working with our global GCORC Audit Stream teams, assessing the risks and controls to prevent and detect compliance and operational risks across the firm. Your expertise • ideally 5+ years within internal audit, compliance or internal risk management areas within the financial services industry. This experience could have been gained at a consulting firm, regulator, or in an Internal Audit function • strong analytical skills and ability to identify key risks within a variety of transaction processes and critically challenge information • solid experience in an internal controls, business risk or audit function within the financial services industry covering compliance, regulatory, financial crime, conduct and operational risks • ability to quickly understand complex processes and challenge the status quo, identifying risks and inadequacies in processes • willingness to keep up with industry, regulatory developments and learn new concepts and methods • strong communication and networking skills to work collaboratively with stakeholders at all levels About Us 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 ubs.com/careers. Salary information The indicative gross base salary range as a full-time equivalent role: • United States - New Jersey - Weehawken min USD 100000 - max USD 138000 • United States - New York - New York min USD 100000 - max USD 138000 /annum The expected salary for this role will be determined by relevant factors which may include but are not limited to, role-required experience, qualifications, education, location and skill level. UBS offers a range of competitive benefits and for further information, please visit ubs.com/employee-benefits. We may, at our sole discretion, provide additional variable compensation or awards. Join us At UBS, we know that it's our people, with their diverse skills, experiences and backgrounds, who drive our ongoing success. We’re dedicated to our craft and passionate about putting our people first, with new challenges, a supportive team, opportunities to grow and flexible working options when possible. Our inclusive culture brings out the best in our employees, wherever they are on their career journey. And we use artificial intelligence (AI) to work smarter and more efficiently. We also recognize that great work is never done alone. That’s why collaboration is at the heart of everything we do. Because together, we’re more than ourselves. We’re committed to disability inclusion and if you need reasonable accommodation/adjustments throughout our recruitment process, you can always contact us. 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.

Lead and coordinate IB BRM activities across Americas, manage control frameworks, drive supervisory oversight, represent Americas BRM globally, and lead change initiatives including automation. | Experience with front office control frameworks, supervisory alerting, regulatory reporting, audit processes, Brazil-specific regulations, strong analytical and communication skills, and proficiency in Excel, PowerPoint, and business risk tools. | Job Reference # 326370BR Job Type Full Time Your role Are you passionate about business risk management and eager to support the Investment Bank (IB) in managing its First line control framework? Do you thrive in dynamic environments, coordinating across global teams and driving execution of control frameworks? We are seeking a Project Manager to lead and coordinate IB BRM activities across the Americas region, with a focus on UGM, Brazil and SCP (Supervisory Control Points) initiatives. Key responsibilities include: • Lead regional BRM initiatives, including SCP alert design, mapping, and remediation tracking for UGM, Brazil and other Americas entities • Coordinate with IB COO, Compliance (C&ORC), and Finance to align roles, responsibilities, and control frameworks across Front Office and Middle Office • Drive supervisory oversight, including MySupervision task reviews and decommissioning, audit closure packs, and escalation protocols • Represent Americas BRM in global forums, including biweekly supervision meetings and SCP/TMA workshops • Lead change initiatives, including automation of SCP alerts and integration of new control mechanisms utilizing AI where possible • Prepare concise, transparent, and meaningful reporting to management, auditors, and regulators • Provide proactive and constructive challenge in all aspects of the role, encouraging best practice, innovation and efficiency • Focus on execution and problem solving, organization and thoroughness Detailed salary information: • New York: the salary range for this role is $150000 to $187500 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 ubs.com/usbenefits . Your team You will join the IB BRM Americas team, based in New York or Nashville, reporting to the Regional Head of BRM. The team collaborates closely with global BRM colleagues, UGM, Brazil employees, Compliance, and the IB COO function to ensure robust first line risk management across the Americas. Your expertise • knowledge of front office control frameworks, Supervisory alerting, and supervisory principles • Experience with regulatory reporting, audit processes, and control design • Familiarity with Brazil-specific regulatory and operational structures • analytical and communication skills, with the ability to manage complex and senior stakeholder relationships • Proficiency in Excel, PowerPoint, and business risk tools (e.g., SCP, MySupervision) • Able to manage competing priorities and deliver under pressure. • Committed to continuous improvement and operational excellence 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. Our global reach and the breadth of our expertise set us apart from our competitors. We have a presence in all major financial centers in more than 50 countries. Join us At UBS, we know that it's our people, with their diverse skills, experiences and backgrounds, who drive our ongoing success. We’re dedicated to our craft and passionate about putting our people first, with new challenges, a supportive team, opportunities to grow and flexible working options when possible. Our inclusive culture brings out the best in our employees, wherever they are on their career journey. And we use artificial intelligence (AI) to work smarter and more efficiently. We also recognize that great work is never done alone. That’s why collaboration is at the heart of everything we do. Because together, we’re more than ourselves. We’re committed to disability inclusion and if you need reasonable accommodation/adjustments throughout our recruitment process, you can always contact us. 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. Your Career Comeback We are open to applications from career returners. Find out more about our program on ubs.com/careercomeback. Salary Information US Only: The expected salary range for this role is $150000 to $187500 based on factors including, but not limited to, experience, qualifications, education, location and skill level. Please see «Your role» section for detailed salary information.

Manage and enhance the UBS Financial Wellness program through contract management, vendor partnerships, marketing resource development, stakeholder collaboration, and strategic business initiatives. | 5+ years financial services experience, familiarity with financial wellness and retirement plans, strong project management, proficiency with Microsoft Office and CRM tools, ability to learn Alteryx and Tableau, and preferably Series 7 and 66 licenses. | Job Reference # 308189BR Job Type Full Time Your role Are you a strategic thinker with strong attention to detail? Do you have a passion for the financial wellness business and possess the skill-set to support and enhance our Financial Wellness program? Do you enjoy collaborating with others to support team priorities to drive business forward? We are looking for someone like you to: • execute program management related tasks, including but not limited to: managing contract review and execution, developing marketing resources, supporting platform and service enhancements, conducting pricing and competitive analysis reviews, and developing and maintaining program policies and procedures. • act as the key point of contact and subject matter expert for the UBS Financial Wellness program, and responsible for resolving any program related inquiries from financial advisors, relationship managers and Financial Wellness coaches. • manage 3rd party partnerships with vendors who provide additional services to UBS and support the vendor management process • develop and maintain product and marketing resources used to present the UBS Financial Wellness offering to corporate clients and prospects as well as materials used by financial advisors, relationship managers and Financial Wellness coaches • collaborate with various internal and external stakeholders (Legal, Compliance, Supervision, Relationship Managers, Financial Wellness Coaches, Marketing, Operations, Risk, Technology, external vendors) to effectively manage and enhance the program • define and drive business strategy and program development initiatives to ensure UBS’s offering remains competitive; key responsibilities in this area include: stakeholder management, development of business cases, project plans and presentations, analysis of market data and competitor landscape, and creation of work product needed to obtain required approvals or implement new processes. Detailed salary information: • Weehawken: the salary range for this role is $135000 to $175000 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 ubs.com/usbenefits . Your team You’ll be working in the Workplace Wealth Solutions (WWS) Financial Wellness team based in Weehawken, NJ. WWS is one of the key growth businesses within Global Wealth Management and serves as a lead generator for the broader business. We are a leading provider of retirement, equity plan compensation, and financial wellness services for companies and their plan participants. In addition to the services provided as part of the broader business, we provide education and guidance to help participants achieve financial success Your expertise • ideally, 5+ years financial services industry experience • familiarity with financial wellness and retirement plan business, with the desire to increase knowledge quickly • effective project management skills and ability to multi-task in a fast-paced environment and navigate complex problems with multiple stakeholders • proficient in using Microsoft Excel, Microsoft PowerPoint, Microsoft Dynamics • proficient in using Alteryx and Tableau, or have the ability to learn quickly • Series 7, 66 licenses (preferred but not required) • a proactive self-starter who follows up on deliverables and makes key observations and strategic recommendations • someone with a client service mindset, who anticipates client needs and establishes standards, processes and deliverables that exceed expectations • an effective communicator (written and verbal) who can interface with multiple levels throughout the organization 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. Our global reach and the breadth of our expertise set us apart from our competitors.. 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. From gaining new experiences in different roles to acquiring fresh knowledge and skills, we know that great work is never done alone. We know that it's our people, with their unique backgrounds, skills, experience levels and interests, who drive our ongoing success. Together we’re more than ourselves. Ready to be part of #teamUBS and make an impact? 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. Salary Information US Only: The expected salary range for this role is $135000 to $175000 based on factors including, but not limited to, experience, qualifications, education, location and skill level. Please see «Your role» section for detailed salary information.