United States - New York

Compliance

Group Functions

Job Reference #

284481BR

City

New York

Job Type

Full Time

Your role

Are you interested in developing and driving solutions that advance our strategic objectives? Do you execute with excellence? Are you entrepreneurial, proactive, and forward looking? We are looking for someone who will:

•act as a subject matter expert covering the Rates and Structured Finance Products businesses
•liaise with management in the Rates and Structured Finance Products businesses, which includes the Primary Dealer, Government Sponsored Enterprise, and Structured Finance businesses, as well as functional leaders in compliance, legal, risk and other areas to provide effective challenge, guidance, and advice
•actively participate in the Best Execution forums as well as various other regional, global, and cross-product committees
•provide subject matter expertise on existing, new, or updated laws, rules and regulations pertaining to Rates and Structured Finance Products sales and trading activities
•draft and publish policies and procedures that pertain to the Rates or Structured Finance Products business
•participate and provide support in regulatory exams and inquiries, complete relevant Compliance Risk Assessments, develop and deliver compliance trainings, perform thematic reviews to assess emerging risk themes

Your Career Comeback

We are open to applications from career returners. Find out more about our program on ubs.com/careercomeback.

Your team

The Investment Bank Divisional Compliance and Operational Risk (C&ORC) team provides independent oversight, challenge and control over the non-financial risks arising from our business activities across multiple levels to ensure compliance, conduct and operational risks are understood, owned, and managed to the Firm's risk appetite. As part of the second line of defense, Global Markets Compliance identifies and assesses compliance, regulatory and reputational risk by providing independent oversight and challenge of risks, and establishing independent frameworks for risk assessment, measurement, aggregation, and reporting, protecting against non-compliance with applicable laws and regulations. This team aids in designing and implementing controls, policies, and procedures, implementing compliance training, working closely with independent testing teams, liaising with surveillance, conducting risk assessments, partnering with other parts of the Division on surveillance, investigations and regulatory examinations and inquiries

Diversity helps us grow, together. That’s why we are committed to fostering and advancing diversity, equity, and inclusion. It strengthens our business and brings value to our clients.

Your expertise

• bachelor’s degree or higher in Business/Accounting/Finance/Law or similar field
• ideally 5+ years of experience in Compliance, legal, risk control or audit with experience in Rates and / or Structured Finance areas
• ability to drive sustainable change, influence regulation and uphold industry leading standards, help Develop and drive culture and conduct agenda
•able to join the dots across divisions and business areas and collaborate to provide more holistic risk control environment
•take ownership and act with integrity while demonstrating strong interpersonal and leadership skills
•intellectually curious and able to critically challenge and verify
•able to work in a fast-paced and dynamic environment, leveraging data analytics and technological capabilities
•possesses sound judgment, curiosity and can adapt to a changing regulatory landscape
•excellent presentation and communication skills with ability to present to and respond effectively to senior internal and external stakeholders

About us

UBS is the world’s largest and 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.

With more than 70,000 employees, we have a presence in all major financial centers in more than 50 countries. Do you want to be one of us?

Salary information

CA, CO, WA and NY based roles: The salary range for this role is $160,000 to $210,000 based on experience, education, and skill level. This role may be eligible for discretionary incentive compensation. For benefits information: ubs.com/usbenefits.

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.