Futures & Swaps Compliance Specialist

Your role
Are you someone who has a keen interest in Risk and Compliance, a strong understanding of process and controls, with a collaborative nature towards problem solving? Do you know how to juggle multiple tasks and effectively prioritize? Are you detail oriented and a great communicator? Are you looking for a demanding yet rewarding role that focuses on strategic thinking as well as execution? We're looking for someone to:

• remain current on industry rules, best practices, and regulatory developments to help ensure that the futures compliance program meets regulatory standards
• proactively review existing business practices against specific regulatory requirements to ensure that any discrepancies are identified and addressed
• provide clear and articulate guidance to internal stakeholders on policy and regulatory requirements related to futures compliance matters
• participate in the execution of the annual Compliance Risk Assessment
• assist with the preparation and maintenance of the compliance policies and written supervisory procedures specific to the derivatives business
• assist with the development of communications and training for the field on compliance issues, including changes to policies and supervisory procedures
• work with Audit Staff and/or Rules Based Testing Team on the testing and monitoring of the effectiveness of the FCM's policies and procedures, and assist with the preparation of the annual CCO Report
• assist with Compliance Projects on an ad hoc basis
• work effectively with Legal, Compliance, and Business colleagues

Your team
You will work within the Global Wealth Management Americas Compliance & Operational Risk Control (C&ORC) team to help support compliance activities for the Futures Commission Merchant (FCM) business within UBS's Wealth Management USA business. We support business management, traders, financial advisors and their branch management with guidance to ensure compliance with the obligations as an FCM and act as subject matter experts for futures, OTC derivatives, spot FX, and precious metals products. The 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 the Firm's 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
• experience within financial services, ideally 2+ years, preferably in Compliance, Audit, Legal or Risk Management, at a firm, regulator, or an exchange
• experience in futures, swaps, spot FX, and precious metals products would be ideal
• dealing with multiple projects simultaneously
• good interpersonal skills and effective writing, analytical and communication skills
• proficient in Microsoft Office applications (Word, Excel, PowerPoint) and strong ability to learn new in-house developed technologies

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.