UBS · 4 hours ago
Compliance Officer - Mortgages
North Carolina, United States
Full-time
Onsite
Senior Level, Lead/Staff
$176K/yr - $229K/yr
10+ years expUBS is a leading global wealth manager and universal bank headquartered in Zurich, Switzerland. The Compliance Officer – Mortgages will assist in ensuring compliance with applicable laws and regulations across residential and commercial mortgage business lines, fostering relationships and providing guidance to mitigate potential risks.
Asset ManagementBankingFinancial ServicesWealth Management
Responsibilities
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
Qualification
Preferred
a Bachelor's degree or higher is preferred
ideally 10+ years of compliance experience in a banking institution, regulatory agency or major consulting firm, with specific focus on residential and commercial mortgages
experience with digital banking platforms and services, including online/mobile
successful experience of leadership, both in terms of people as well as projects and initiatives
strong strategic, judgement and integrative thinking skills, risk management and risk assessment knowledge
strong organizational, communication and influencing skills
strong knowledge of consumer compliance banking laws/regulations, specifically Consumer Financial Protection Bureau (CFPB) laws and regulations, Regulation B (Equal Credit Opportunity Act), CFPB Regulation X (Real Estate Settlement Procedures Act), Regulation C (Home Mortgage Disclosure Act), Regulation V (Fair Credit Reporting Act), and Regulation Z (Truth in Lending Act)
Company
UBS
UBS is a financial services firm engaged in wealth management, investment banking, asset management, and retail banking.
10001+ employees
H1B Sponsorship
UBS has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (8)
2024 (7)
2023 (3)
2022 (6)
2021 (5)
2020 (4)
Funding
Current Stage
Public CompanyTotal Funding
$12.57B2025-11-03Post Ipo Debt· $3.25B
2025-09-09Post Ipo Debt· $1.17B
2024-09-06Post Ipo Debt· $1.5B
Leadership Team
Sergio P. Ermotti
Group Chief Executive Officer
James Walker
Head CTO for Core Technology & Platforms
Recent News
bloomberglaw.com
2026-01-22
2026-01-22
Company data provided by crunchbase