Are you risk averse but risk aware? Do you know how to maintain independence and objectivity? Do you know how to evaluate risks in a challenging and fast paced environment? You will assist the IB Americas Global Banking Compliance team in the day-to-day guidance on policies, applicable regulations pertaining to the Business and compliance related issues, including but not limited to:

• Collaborate with senior management in Global Banking/Capital Markets as well as functional leaders in Compliance, Legal, Risk, Conflicts and IT to provide compliance guidance and effectively challenge the business

• Actively participate and provide thought leadership in global, regional, and cross-product committees as the Compliance representative

• Consult on existing, new, or updated laws, rules, and regulations to formulate practical solutions to industry-wide issues and partnering with our peers globally and across platforms (Global Research colleagues, Global Markets colleagues, Control Room peers) for consistency as appropriate

• Consult on a range of topics, including SEC and FINRA regulations impacting Capital Markets business, including Regulation M, IPO rules (5130/5131), 5190 and Trace reporting obligations, Buy-Backs as well as interactions with Research, Information barriers, Conflicts and Wall crossing.

• Participate and provide support in regulatory exams and inquiries

• Complete Compliance Risk Assessments and evaluate/develop effectiveness of key risk controls

• Perform thematic reviews to assess emerging risk themes

• Oversee and provide guidance to junior level team member

Detailed salary information:
• New York: the salary range for this role is $170000 to $245000
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 Reference #

309447BR

City

New York

Job Type

Full Time

Your team

You will be working with the Americas Global Banking Compliance Team. This position will be based in New York. Our team provides guidance, independent oversight, and challenge over the non-financial risks arising from UBS’s business activities to ensure compliance, conduct and operational risks are understood, owned, and managed to the Firm's risk appetite. Other responsibilities include the establishment of independent frameworks for risk assessment, measurement, aggregation, and reporting non-compliance with applicable laws and regulations. This team aids in the design and implementation of policies, procedures, controls, and compliance training while working closely with other teams such as independent testing teams, surveillance teams and Operational Risk and Control and regulatory teams.

Your expertise

· A minimum of 10+ years of experience in Compliance, Legal, Risk Control or Audit

· Ability to drive sustainable change, influence regulation and collaborate with internal stakeholders to provide a more holistic risk control environment

· Strong relationship management skills with the ability to connect across the business and key functional support areas

· Ability to handle multiple tasks simultaneously and work under tight deadlines

· Strong analytical and problem-solving skills with the ability to exercise sound and balanced judgment

· Effective oral and written communication skills required

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.

Salary information

US Only: The expected salary range for this role is $170000 to $245000 based on factors including, but not limited to, experience, qualifications, education, location and skill level. Please see «Your role» section for detailed salary information.

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?

Contact Details

UBS Business Solutions SA
UBS Recruiting

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.