Director, Asset Management Compliance Officer
- Recruiter
- UBS
- Location
- New York, Weehawken, United States - New Jersey, United States - New York
- Salary
- Competitive salary
- Posted
- 05 Jul 2022
- Closes
- 17 Jul 2022
- Ref
- 250167BR
- Approved employers
- Approved employer
- Job role
- Compliance/risk, Finance director
- Sector
- Accounting - Public practice
- Experience level
- Director
Your role
Are you ready to be part of the team that assumes compliance responsibility for a multi-billion dollar equity long/short, merger arb and credit hedge fund manager, which makes up one of the four lines of business at a dynamic top global asset manager? Do you have a deep understanding of the regulatory, compliance and operational risks of hedge funds? Are you a rigorous thinker? Can you stand firm under pressure? Do you thrive in a fast paced, highly regulated environment with multiple constituencies and at times conflicting priorities? Can you build strong relationships and influence outcomes, as well as develop and implement innovative solutions?
As a Senior Compliance Officer of UBS Asset Management, you'll be a well-placed member of the team responsible for the compliance function of the single-manager hedge fund platform of UBS O'Connor. You will help build and manage an integrated, holistic compliance framework within UBS O'Connor LLC and the wider UBS Asset Management business division working as a member of the Compliance and Operational Risk Control (C&ORC) team.
You'll have a reporting line to the Global Chief Compliance Officer of UBS O'Connor. You, as the 2nd line of defense, will be integrated into multiple dimensions of first line risk-taking activities of UBS O'Connor and help connect its compliance policies, procedures and processes with those of UBS Asset Management. Your role will require excellent leadership, keen risk judgment, decisiveness, communication and interpersonal skills, and superb integrative thinking across all facets of compliance risk policies, procedures and processes.
The successful candidate will be responsible for:
• providing challenge and a control to the business' compliance risk-taking and risk assessments
• assisting in the administration, maintenance and improvement of the compliance policies, procedures and processes of UBS O'Connor, and connecting them to those of UBS Asset Management
• influencing investment members within UBS O'Connor on key compliance risks and actions required to mitigate risk
• providing consultation to UBS O'Connor on, and evaluating, projects, new initiatives, business objectives, policies, procedures, processes, risk events, controls, and/or compliance testing and monitoring
• periodic reporting and regulatory filings
• working across the multiple dimensions of compliance risk programs and understanding how they impact O'Connor and Asset Management
• as needed, developing ad-hoc analysis, deep dive investigations, control testing, and driving specific risk initiatives.
Your team
You'll work in New York or Chicago reporting to the Global Chief Compliance Officer of UBS O'Connor. You will be part of AM C&ORC's dynamic, driven and integrated team of professionals, which is responsible for managing the compliance and operational risks arising from UBS' Asset Management business.
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
You have:
• a Bachelor's degree in a relevant area of study, a graduate degree (e.g., MBA or JD) is a plus
• ideally 5-10 years of prior compliance experience with a hedge fund or other alternative investment platform or an asset manager, or a regulatory agency or major consulting firm covering hedge funds or alternative asset managers
• successful experience of leadership, both in terms of people as well as projects and initiatives
• common sense, executive presence, strong strategic judgment and integrative thinking skills, deep compliance risk knowledge, as well as good organizational, communication and influencing skills
• experience with US securities regulations and a thorough understanding of the legal and regulatory expectations / requirements related to hedge fund compliance. Bank regulatory expertise and experience in EMEA and APAC regulatory schemes are a plus
You are:
• a leader with excellent interpersonal skills, and at the same time a collegial team player
• structured, rigorous, analytical, holistic and thorough in your approach, with the ability to form defensible conclusions from risk assessments and the ability to "stand your ground"
• someone with strong and sound judgment and able to articulate views, assessments and approaches both verbally and in writing precisely, concisely, logically and accurately
• able to present to and respond effectively to senior internal and external stakeholders
• able to calmly manage conflict and pressure in a demanding, high-paced and high-volume environment
• flexible and capable of prioritizing based on changing internal or external demands
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.
Are you ready to be part of the team that assumes compliance responsibility for a multi-billion dollar equity long/short, merger arb and credit hedge fund manager, which makes up one of the four lines of business at a dynamic top global asset manager? Do you have a deep understanding of the regulatory, compliance and operational risks of hedge funds? Are you a rigorous thinker? Can you stand firm under pressure? Do you thrive in a fast paced, highly regulated environment with multiple constituencies and at times conflicting priorities? Can you build strong relationships and influence outcomes, as well as develop and implement innovative solutions?
As a Senior Compliance Officer of UBS Asset Management, you'll be a well-placed member of the team responsible for the compliance function of the single-manager hedge fund platform of UBS O'Connor. You will help build and manage an integrated, holistic compliance framework within UBS O'Connor LLC and the wider UBS Asset Management business division working as a member of the Compliance and Operational Risk Control (C&ORC) team.
You'll have a reporting line to the Global Chief Compliance Officer of UBS O'Connor. You, as the 2nd line of defense, will be integrated into multiple dimensions of first line risk-taking activities of UBS O'Connor and help connect its compliance policies, procedures and processes with those of UBS Asset Management. Your role will require excellent leadership, keen risk judgment, decisiveness, communication and interpersonal skills, and superb integrative thinking across all facets of compliance risk policies, procedures and processes.
The successful candidate will be responsible for:
• providing challenge and a control to the business' compliance risk-taking and risk assessments
• assisting in the administration, maintenance and improvement of the compliance policies, procedures and processes of UBS O'Connor, and connecting them to those of UBS Asset Management
• influencing investment members within UBS O'Connor on key compliance risks and actions required to mitigate risk
• providing consultation to UBS O'Connor on, and evaluating, projects, new initiatives, business objectives, policies, procedures, processes, risk events, controls, and/or compliance testing and monitoring
• periodic reporting and regulatory filings
• working across the multiple dimensions of compliance risk programs and understanding how they impact O'Connor and Asset Management
• as needed, developing ad-hoc analysis, deep dive investigations, control testing, and driving specific risk initiatives.
Your team
You'll work in New York or Chicago reporting to the Global Chief Compliance Officer of UBS O'Connor. You will be part of AM C&ORC's dynamic, driven and integrated team of professionals, which is responsible for managing the compliance and operational risks arising from UBS' Asset Management business.
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
You have:
• a Bachelor's degree in a relevant area of study, a graduate degree (e.g., MBA or JD) is a plus
• ideally 5-10 years of prior compliance experience with a hedge fund or other alternative investment platform or an asset manager, or a regulatory agency or major consulting firm covering hedge funds or alternative asset managers
• successful experience of leadership, both in terms of people as well as projects and initiatives
• common sense, executive presence, strong strategic judgment and integrative thinking skills, deep compliance risk knowledge, as well as good organizational, communication and influencing skills
• experience with US securities regulations and a thorough understanding of the legal and regulatory expectations / requirements related to hedge fund compliance. Bank regulatory expertise and experience in EMEA and APAC regulatory schemes are a plus
You are:
• a leader with excellent interpersonal skills, and at the same time a collegial team player
• structured, rigorous, analytical, holistic and thorough in your approach, with the ability to form defensible conclusions from risk assessments and the ability to "stand your ground"
• someone with strong and sound judgment and able to articulate views, assessments and approaches both verbally and in writing precisely, concisely, logically and accurately
• able to present to and respond effectively to senior internal and external stakeholders
• able to calmly manage conflict and pressure in a demanding, high-paced and high-volume environment
• flexible and capable of prioritizing based on changing internal or external demands
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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