WM Capital Markets - Equities Compliance

New York, United States - New York
Competitive salary
30 Jun 2022
08 Jul 2022
Approved employers
Approved employer
Job role
Your role
Are you interested in developing and driving solutions that advance our strategic objectives? Do you execute with excellence? Are you entrepreneurial, proactive, and forward looking? We are looking for someone who will:
• act as a US securities regulation subject-matter expert covering the Capital Markets Wealth Management Trading businesses.
• review, challenge and guide senior business management as well as functional leaders in compliance, legal, risk, credit risk, market risk and IT on supervision and governance matters
• actively participate in the key committees as well as various other global, regional, and cross-product committees
• draft and publish policies and procedures that pertain to the business, with a focus on harmonization and consistency across the region.
• participate and provide support in regulatory exams and inquiries
• provide compliance training and guidance
• participate and provide input in Compliance Risk Assessments, regulatory exams, inquiries, audits and thematic reviews to assess emerging risk themes

Your team
Our team sits within the Governance Compliance Regulatory Group (GCRG) which aims to build trust, help safeguard our business, and support controlled growth and strive for new ways to proactively identify and control existing and emerging risks in a rapidly changing and increasingly digital world. The Investment Bank Divisional Compliance and Operational Risk (C&ORC) team helps accomplishes this by providing independent oversight, challenge and control over the non-financial risks arising from UBS's business activities across multiple levels to ensure compliance, conduct and operational risks are understood, owned, and managed to the Firm's risk appetite. As part of the second line of defense, Global Markets Compliance identifies and assesses compliance, regulatory and reputational risk by providing independent 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. This team aids in designing and implementing controls, policies, and procedures, implementing compliance training, working closely with independent testing teams, liaising with surveillance, conducting risk assessments, partnering with other parts of the Division on surveillance, investigations and regulatory examinations and inquiries

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 5+ years' experience in compliance, legal, risk control or audit with experience in securities sales & trading.
•able to drive sustainable change, influence and uphold industry leading standards
•able to join the dots across divisions and business areas and collaborate to provide more holistic risk control environment
•take ownership and act with integrity and team-oriented with strong interpersonal skills
•able to work in a fast-paced and dynamic environment, leveraging data analytics and technological capabilities
•possesses sound judgment, curiosity, and can adapt to a changing landscape
•excellent presentation and communication skills with ability to present to and respond effectively to senior internal and external stakeholders

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
From gaining new experiences in different roles to acquiring fresh knowledge and skills, at UBS 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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