Investment Banking Compliance Officer
- Recruiter
- UBS
- Location
- New York, United States - New York
- Salary
- Competitive salary
- Posted
- 23 Sep 2022
- Closes
- 01 Oct 2022
- Ref
- 247032BR
- Approved employers
- Approved employer
- Job role
- Compliance/risk
- Sector
- Accounting - Public practice
Your role
Are you interested in developing and driving solutions that advance UBS's strategic objectives? Do you execute with excellence? Are you entrepreneurial, proactive, and forward looking? We are looking for someone who will:
•responsible for providing Compliance coverage and oversight for our Investment 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 and conflicts
•evaluate relevant regional and global regulatory requirements mapping to corresponding risks
•liaise with management in Global Banking as well as functional leaders in Compliance, Legal, Risk, and IT to provide effective challenge, guidance, and advice
•actively participate in various global, regional, and cross-product committees as the Compliance representative
•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
•perform 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 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. 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.
Your expertise
•ideally 3+ years' prior experience in financial services, front office facing Compliance, Legal, Risk Control or Audit is preferred
•ability to independently drive sustainable change, influence regulation and collaborate to provide a more holistic risk control environment
•able to join the dots across divisions and business areas
•ability to handle multiple tasks simultaneously and work under tight deadlines
•strong analytical and problem-solving skills with the ability to exercise sound and balanced judgment
•strong 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.
Are you interested in developing and driving solutions that advance UBS's strategic objectives? Do you execute with excellence? Are you entrepreneurial, proactive, and forward looking? We are looking for someone who will:
•responsible for providing Compliance coverage and oversight for our Investment 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 and conflicts
•evaluate relevant regional and global regulatory requirements mapping to corresponding risks
•liaise with management in Global Banking as well as functional leaders in Compliance, Legal, Risk, and IT to provide effective challenge, guidance, and advice
•actively participate in various global, regional, and cross-product committees as the Compliance representative
•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
•perform 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 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. 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.
Your expertise
•ideally 3+ years' prior experience in financial services, front office facing Compliance, Legal, Risk Control or Audit is preferred
•ability to independently drive sustainable change, influence regulation and collaborate to provide a more holistic risk control environment
•able to join the dots across divisions and business areas
•ability to handle multiple tasks simultaneously and work under tight deadlines
•strong analytical and problem-solving skills with the ability to exercise sound and balanced judgment
•strong 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.