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? We are looking for someone for the following:
• The compliance officer will oversee a team responsible for coverage of the Equities & Equity Derivatives Sales and Trading desks. These desks include: Equity Derivatives Sales & Trading, Equity Sales Trading, Equity Trading, Central Risk Book, Exchange Traded Funds and Program Sales Trading & the UBS ATS.
• The compliance officer will also be responsible for liaising with senior management in Equities and Equity Derivatives as well as functional leaders in compliance, operational risk, legal, risk, and IT to provide effective challenge, guidance and advice
• The individual will be expected to participate in the Equities & Equity Derivatives Best Execution Forums, Electronic Trading Governance Forums as well as various other global and regional, regional and cross-product committees
• Provide subject-matter expertise on laws, rules, and regulations pertaining to Equity and Equity Derivatives Sales and Trading
• Draft and publish policies and procedures that pertain to the Equity Sales and Trading businesses
• Participate and provide support in regulatory exams and inquiries
• Complete Compliance Risk Assessments and Monitoring Routines and C&ORC thematics
• Develop and deliver compliance trainings

Detailed salary information:
• New York: the salary range for this role is $207500 to $282500
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 #

312352BR

City

New York

Job Type

Full Time

Your team

You’ll be working in the IB Global Markets Americas Compliance team in New York, which is a part of the Group Compliance, Regulatory and Governance function, coordinating daily with colleagues throughout the globe. We are a team who partner effectively with the business to manage regulatory non-financial risk in an environment of collaboration and constructive challenge. We are responsible for providing independent oversight and control over the consequential risks arising from UBS’ business activities at a global, regional, divisional and entity level.

Your expertise

• a BS/BA degree
• ideally 10–15 years' experience in compliance, legal, risk control or audit with experience in Equity Derivatives, Equity Sales Trading, Equity Trading and/or Electronic Trading
• the ability to manage a team of compliance officers at various levels of seniority
the ability to make decisions, resolve conflicts, and exercise sound judgment under pressure
• strong interpersonal and leadership skills, with the ability to successfully contribute to implementing and delivering change
• analytical with the ability to provide practical solutions for minimizing risk
• able to critically verify and challenge processes and documentation with an independent mindset
• result-oriented and assertive (you don’t shy away from challenging situations)
• able to work in a faced-pace and high-pressure environment
• able to operate at both a detailed and strategic level, with strong attention to detail and organization skills, as well as excellent presentation and communication skills

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 $207500 to $282500 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.