Equity Derivatives Compliance Analyst
- Recruiter
- UBS
- Location
- New York, United States - New York
- Salary
- $80,000 to $100,000 based on experience, education, and skill level
- Posted
- 07 Feb 2023
- Closes
- 07 Mar 2023
- Ref
- 265861BR
- Approved employers
- Approved employer
- Job role
- Compliance/risk
- Sector
- Accounting - Public practice
Your role
Are you a Compliance Professional who likes taking on responsibility? Do you enjoy working in a fast paced environment and being the subject matter expert? We are looking for someone like this to:
participate in Compliance coverage for the Global Equity Derivatives business
liaise with our management in the equities derivatives business and functional leaders in Compliance, Legal, Risk and other areas to provide effective challenge, guidance and advice
learn, understand how to apply and provide subject matter expertise on laws, rules and regulations pertaining to equity derivatives sales and trading activities
draft and review compliance policies and procedures as well as develop and deliver relevant in person training
support team member participation in governance forums, committees and new business initiatives
participate on various annual reviews including Compliance Risk Assessments and RCSA's
be willing to take on projects and assignments that may be outside of your expertise in conjunction with other compliance team members
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 accomplish this by providing 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. 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, rules 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
•bachelor's degree or higher in Business/Accounting/Finance/Law or similar field
•2+years of experience in Compliance or Regulatory Role or equivalent experience
•familiarity with equity derivatives and associated trade flows
•interpersonal and leadership skills, with the ability to successfully contribute to implementing and delivering change.
•excellent, self-motivated, well organized and detail orientated
•to critically verify and challenge processes and documentation with an independent mindset
•able to operate at both a detailed and strategic level, with strong attention to detail.
•comfortable working in a fast paced and dynamic environment, leveraging data analytics and technological capabilities
•excellent presentation and communication skills and proficient user of Word, Excel and PowerPoint and skilled at data analytics
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?
Salary information
CA, CO, WA and NY based roles: The salary range for this role is $80,000 to $100,000 based on experience, education, and skill level. This role may be eligible for discretionary incentive compensation. For benefits information: ubs.com/usbenefits.
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 a Compliance Professional who likes taking on responsibility? Do you enjoy working in a fast paced environment and being the subject matter expert? We are looking for someone like this to:
participate in Compliance coverage for the Global Equity Derivatives business
liaise with our management in the equities derivatives business and functional leaders in Compliance, Legal, Risk and other areas to provide effective challenge, guidance and advice
learn, understand how to apply and provide subject matter expertise on laws, rules and regulations pertaining to equity derivatives sales and trading activities
draft and review compliance policies and procedures as well as develop and deliver relevant in person training
support team member participation in governance forums, committees and new business initiatives
participate on various annual reviews including Compliance Risk Assessments and RCSA's
be willing to take on projects and assignments that may be outside of your expertise in conjunction with other compliance team members
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 accomplish this by providing 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. 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, rules 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
•bachelor's degree or higher in Business/Accounting/Finance/Law or similar field
•2+years of experience in Compliance or Regulatory Role or equivalent experience
•familiarity with equity derivatives and associated trade flows
•interpersonal and leadership skills, with the ability to successfully contribute to implementing and delivering change.
•excellent, self-motivated, well organized and detail orientated
•to critically verify and challenge processes and documentation with an independent mindset
•able to operate at both a detailed and strategic level, with strong attention to detail.
•comfortable working in a fast paced and dynamic environment, leveraging data analytics and technological capabilities
•excellent presentation and communication skills and proficient user of Word, Excel and PowerPoint and skilled at data analytics
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?
Salary information
CA, CO, WA and NY based roles: The salary range for this role is $80,000 to $100,000 based on experience, education, and skill level. This role may be eligible for discretionary incentive compensation. For benefits information: ubs.com/usbenefits.
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.