Executive Director, Investment Banking Compliance

New York, United States - New York
Competitive salary
27 Jun 2022
22 Jul 2022
Approved employers
Approved employer
Experience level
Your role
Are you interested in developing and guiding solutions that will advance our strategic objectives? Are you ready to support our culture of compliance and risk mitigation, and are you someone who likes to do the right thing? Can you maintain independence and objectivity, as well as build relationships and influence outcomes? We are looking for someone like that to:

• be responsible for providing in-depth Compliance coverage and oversight for our Global Banking business which includes Advisory, Capital Markets, Financing Solutions, Real Estate Finance, and Public Finance
• provide subject matter expertise on a range of topics, including information barriers, conflicts, wall crossing, financing trees, Regulation M, and FINRA IPO rules
• engage, guide, and partner with management in Global Banking as well as functional leaders in Compliance, Legal, Risk, and IT to provide effective guidance and advice
• actively participate and provide thought leadership in global, regional, and cross-product committees as the Compliance representative
• be a subject matter expert on existing, new, or updated laws, rules, and regulations to formulate practical solutions to industry-wide issues
• oversee and guide team members
• draft and publish policies and procedures that pertain to the global banking business
• participate and provide support in regulatory exams and inquiries
• complete Compliance Risk Assessments and develop and deliver compliance trainings
• engaged in thematic reviews to assess emerging risk themes

Your team
As part of the second line of defense, Investment Banking Compliance identifies and assesses compliance, regulatory and reputational risk by providing 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. The Investment Bank Divisional Compliance and Operations Risk (C&ORC) team helps provide 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 our risk appetite.

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 15+ years' experience in Compliance, Legal, Risk Control or Audit
• entrepreneurial inclination, ability to work alone and act as project manager
• ability to guide sustainable change, influence regulation and collaborate to provide more holistic risk control environment
• proven relationship management skills with ability to join the dots across the business and key functional support areas
• ability to handle multiple tasks simultaneously and work under tight deadlines
• sound analytical and problem-solving skills with the ability to exercise sound and balanced judgment
• clear oral and written communication skills required

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?

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.

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