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Key responsibilities
The 1st Line Consumer Protection Lead provides end-to-end leadership for consumer compliance across UBS Bank USA NA. The role owns the business compliance operating model and partners with 2LoD Compliance to ensure consumer protection requirements are embedded in day-to-day processes through effective controls, monitoring/testing, issue management, and reporting. The position serves as a key business point of contact for audits and regulatory exams and drives timely, sustainable remediation of identified gaps.
Principal Responsibilities:
• Own the 1LoD consumer compliance risk and control program, coverage strategy, and priorities across retail deposit and consumer lending products.
• Provide 1LoD leadership and credible challenge on consumer compliance requirements across the product lifecycle (product design, disclosures, marketing, onboarding, servicing, and remediation), including change governance and implementation of regulatory/policy updates
• Develop and execute risk-based 1LoD compliance monitoring and testing (including sampling standards, quality assurance, and defect taxonomy) to validate adherence to consumer protection regulations, and bank policies
• Review playbooks and training/communications to ensure frontline adherence to consumer compliance requirements; embed requirements into business readiness and change adoption
• Oversee consumer compliance aspects of third-party relationships (e.g., servicing, fulfillment, marketing, technology) in partnership with Third-Party Risk Management
• Drive continuous improvement through automation to enhance surveillance, improve coverage and timeliness, and reduce repeat findings and consumer harm
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 skills and experience
• ideally 10+ years of progressive experience in consumer banking with demonstrated leadership in 1LoD compliance risk management, compliance monitoring/testing, and control design across products and channels
• Experience supporting bank regulatory exams and internal audits, including coordinating business responses, producing defensible documentation, and driving timely remediation and sustained compliance
• Strong working knowledge of consumer compliance regulations and related guidance (e.g., UDAAP, ECOA/Reg B, TILA/Reg Z, RESPA/Reg X, HMDA/Reg C, FCRA/Reg V, EFTA/Reg E, FDCPA where applicable, MLA/SMCRA as applicable) and the ability to translate into practical controls and procedures
• Innovative mindset to explore efficiency and automation without compromising risk principles
• Executive-level communication and influence skills, with a demonstrated ability to partner with 2LoD Compliance, Legal, Risk, Operations, Product, Technology, and Third-Party Risk to deliver outcomes in a fast-paced regulatory environment. Comfort with data analysis and reporting to produce actionable KRIs/KPIs and testing insights; experience with issue management
• You're curious to explore how AI can improve how we build, deliver, and optimize workflows. You do this with sound judgment - validating outputs and aligning with policies, risk standards, and ethical use.
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 200000 - max USD 275000 /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.