Join the World's Top Legal Talent Network

Job Reference #
305235BR

Job Type
Full Time

Your role
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 be responsible for coverage of Cash Trading for retail and institutional business lines. For all responsibilities the individual will liaise with members in the Equities division and functional leaders in compliance, legal, risk, and IT to provide effective challenge, guidance, and advice.
• Provide subject-matter expertise on rules and regulations pertaining to equities trading, including but not limited to: Best Execution, Reg NMS, Reg SHO, SEC Rule 15c3-5, Rule 144 and Reg M and regulatory reporting requirements including but not limited to: CAT, SEC Rule 605/606.
• The individual will be expected to participate in various global and regional Equities Trading Governance Committees.
• Work with Sales, Trading, Quantitative Analysts, and Technology teams to review risks associated with equities trading, providing guidance on controls implementation and testing.
• Perform critical assessment and challenge during the development and implementation of systems related to trading in equities.
• Work closely with colleagues in Group Compliance, Regulatory & Governance (GCRG) to promote best practice and consistency across divisions.
• Draft and review compliance policies and procedures related to equities trading.
• Develop and deliver compliance training.

Your team
You’ll be working in the IB Global Markets Americas Compliance team in New York, which is a part of the GCRG 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

• A BS/BA degree
• Ideally 4+ years' experience in compliance, legal, risk control or audit with experience in Equity Trading, Equity Sales Trading, and Electronic Trading
• 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 skill

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.

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

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.