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Senior Equity Derivates Compliance Officer

$200,000- $275,000
Posted May 28
Full Time
New York

Job Reference #

Job Type
Full Time

Your role
Are you a Compliance Professional who likes taking on responsibility? Do you enjoy working in a fast paced environment and being the subject matter expert? We are looking for someone like this to:

  • Liaise with senior management in the equities derivatives business and functional leaders in compliance, legal, risk and other areas to provide effective challenge, guidance and advice
  • Participate in Compliance coverage for the Global Equity Derivatives business and in doing so, participate in various global, regional and cross-product Governance Committees
  • Provide subject matter expertise on laws, rules and regulations pertaining to equity derivatives sales and trading, including Flow Volatility, Exotics, Structured Products, Corporate Derivatives, Convertible Bonds, and QIS businesses
  • Provide timely advice to Equity Derivative business personnel on real-time, complex Sales and Trading questions
  • Draft and review compliance policies and procedures as well as develop and deliver relevant training on a global basis
  • Assess regulatory risks and associated controls relating to new business initiatives
  • Participate on various annual reviews including Compliance Risk Assessments and RCSA’s
  • Be willing to take on projects and assignments that may be outside of the equity derivatives space in conjunction with other compliance team members.

Your team
You’ll be working in the IB Americas C&ORC 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 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.

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

  • Ideally a bachelor’s degree or higher in Business/Accounting/Finance/Law or similar field
  • Minimum of 7 years of experience in Compliance or Regulatory Role or equivalent experience
  • Knowledge of equity derivatives and associated trade flows
  • Experience in dealing with regulators related to addressing regulatory inquiries and examinations
  • Experience in conducting Compliance Risk Assessments
  • Excellent written and verbal communication skills and competence in portraying complex content in a clear, concise and compelling manner.
  • Strong business analytical and problem solving skills. Ability to easily manipulate and analyze a broad range of data
  • Goal orientated, self-motivated, well organized and detail orientated
  • Able to critically verify and challenge processes and documentation with an independent mindset
  • Proficient user of Word, Excel and PowerPoint and skilled at data analytics

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.

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.

Salary Information
CA, CO, WA and NY based roles: The salary range for this role is $200,000 to $275,000 based on experience, education, and skill level. This role may be eligible for discretionary incentive compensation. For benefits information: