Compliance Officer
- Recruiter
- UBS
- Location
- Weehawken, United States - New Jersey
- Salary
- Competitive salary
- Posted
- 01 Jun 2023
- Closes
- 01 Jul 2023
- Ref
- 269854BR
- Approved employers
- Approved employer
- Job role
- Compliance/risk
- Sector
- Accounting - Public practice
Your role
Do you have experience in providing compliance or risk advisory services to a business division? Do you enjoy advising and supporting front office colleagues to ensure compliance? Are you confident when it comes to speaking up for what is right and challenging at all levels?
We are looking for a compliance officer to:
• support the CCO in administering the Compliance Program and Code of Ethics for registered funds and their registered investment adviser
• conduct non-financial risk assessments for the registered funds, by conducting reviews, assessing controls and determining the efficiency of those controls
• participate in reviewing new business initiatives and other approvals for hedge funds, private equity, fund of funds and non-registered funds business in remaining compliant within the regulatory environment and managing their risk
• analyze and assess regulatory and internal policy developments to ensure compliance with new or changed regulations and perform deep dive and thematic reviews, to be able to provide forward-looking analysis of relevant risks
• work collaboratively and effectively with other Compliance team members by assisting in other internal compliance processes
Your team
You'll be working in the Group Compliance, Regulatory and Governance team in Weehawken, NJ (Client Solutions). We support the Wealth Management US business by partnering with them to effectively manage regulatory risk in an environment of collaboration and constructive challenge. Our duties include implementing the Compliance Risk Framework and to ensure regulatory and non-financial risks are identified, properly assessed and recorded. You'll play an important role in helping us administering the Compliance program, developing risk mitigating measures, controls and ensuring adequate remediation plans are in place. You'll also collaborate with global colleagues to ensure that best practices are being shared around the region/globe
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
• proven financial services compliance or ideally 5+ years of risk advisory experience
• good working knowledge of the regulatory environment for registered fund and registered investment advisers (i.e., Investment Company Act of 1940 and Investment Advisers Act of 1940)reliable and resilient (challenging situations and conversations don't sway you)
• sound know-how in the analysis of business processes
• ability to collaborate across the organization, influence key stakeholders, and driving change
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.
Do you have experience in providing compliance or risk advisory services to a business division? Do you enjoy advising and supporting front office colleagues to ensure compliance? Are you confident when it comes to speaking up for what is right and challenging at all levels?
We are looking for a compliance officer to:
• support the CCO in administering the Compliance Program and Code of Ethics for registered funds and their registered investment adviser
• conduct non-financial risk assessments for the registered funds, by conducting reviews, assessing controls and determining the efficiency of those controls
• participate in reviewing new business initiatives and other approvals for hedge funds, private equity, fund of funds and non-registered funds business in remaining compliant within the regulatory environment and managing their risk
• analyze and assess regulatory and internal policy developments to ensure compliance with new or changed regulations and perform deep dive and thematic reviews, to be able to provide forward-looking analysis of relevant risks
• work collaboratively and effectively with other Compliance team members by assisting in other internal compliance processes
Your team
You'll be working in the Group Compliance, Regulatory and Governance team in Weehawken, NJ (Client Solutions). We support the Wealth Management US business by partnering with them to effectively manage regulatory risk in an environment of collaboration and constructive challenge. Our duties include implementing the Compliance Risk Framework and to ensure regulatory and non-financial risks are identified, properly assessed and recorded. You'll play an important role in helping us administering the Compliance program, developing risk mitigating measures, controls and ensuring adequate remediation plans are in place. You'll also collaborate with global colleagues to ensure that best practices are being shared around the region/globe
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
• proven financial services compliance or ideally 5+ years of risk advisory experience
• good working knowledge of the regulatory environment for registered fund and registered investment advisers (i.e., Investment Company Act of 1940 and Investment Advisers Act of 1940)reliable and resilient (challenging situations and conversations don't sway you)
• sound know-how in the analysis of business processes
• ability to collaborate across the organization, influence key stakeholders, and driving change
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.