UBS
Broker Dealer Regulatory Governance Compliance Officer
UBS, Weehawken, NJ
Your role
Are you independent, analytical and have strong organizational skills? Do you know how to identify, analyze, and assess regulatory risks? Are you an expert in regulatory governance and able to interpret rules
We are looking for a Regulatory Governance Compliance Officer to:
• assist in the planning, coordination and delivery of our team's annual review plan
• identify and evaluate the effectiveness of existing controls
• prepare detailed work papers to support the results of the review program
• investigate potential regulatory violations and control deficiencies
• collaborate extensively with the relevant business management teams, various control & logistics functions and Legal to ensure Compliance with regulatory requirements and firm policies and procedures.
• coordinate and actively participate in internal and external governance and advocacy forums
• articulate an independent and balanced opinion in written and oral form
Detailed salary information :
• New York: the salary range for this role is $164000 to $211000
The expected salary range(s) for this role as of the date of this posting is/are based on factors including, but not limited to, experience, qualifications, education, location and skill level. This role may also be eligible for discretionary incentive compensation. For benefits information, please visit 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.
Your team
You'll be working on the Broker Dealer Regulatory Governance Team (BDRG), a unit within Compliance and Operational Risk Control (C&ORC). We are focused on the investment bank division and conduct reviews of UBS's various businesses in order to proactively identify compliance issues (e.g., securities laws and broker-dealer rules & regulations, prudential regulations) and ensure adequate controls are in place to mitigate associated risks. We are primarily responsible for conducting institutional branch inspections and performing examinations of UBS's controls and compliance framework in support of CEO and CCO annual certification requirements for the Broker Dealer. BDRG also conducts Market Access, Reg M reviews and assists with Dodd Frank Swap Dealer and Futures Commission Merchant annual reviews.
Your expertise
• BA or international equivalent
• ideally 7+ years experience with major investment or commercial bank or with a major law firm or consulting firm providing advice to major investment or commercial banks
• familiarity with SEC and FINRA regulations related to Broker Dealers
• strong understanding of derivative products and related processes
• excellent research and analytical skills
• highly organized and capable of dealing with multiple projects simultaneously
• highly proficient in Microsoft Office applications (Word, Excel, PowerPoint) and strong ability to learn new in-house developed technologies
• strong written and verbal communication skills
• excellent teamwork, interpersonal and conflict resolution skills
About us
UBS is the world's largest and the 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..
We have a presence in all major financial centers in more than 50 countries.
Salary information
US Only: The expected salary range for this role is $164000 to $211000 based on factors including, but not limited to, experience, qualifications, education, location and skill level. Please see "Your role" section for detailed salary information.
Are you independent, analytical and have strong organizational skills? Do you know how to identify, analyze, and assess regulatory risks? Are you an expert in regulatory governance and able to interpret rules
We are looking for a Regulatory Governance Compliance Officer to:
• assist in the planning, coordination and delivery of our team's annual review plan
• identify and evaluate the effectiveness of existing controls
• prepare detailed work papers to support the results of the review program
• investigate potential regulatory violations and control deficiencies
• collaborate extensively with the relevant business management teams, various control & logistics functions and Legal to ensure Compliance with regulatory requirements and firm policies and procedures.
• coordinate and actively participate in internal and external governance and advocacy forums
• articulate an independent and balanced opinion in written and oral form
Detailed salary information :
• New York: the salary range for this role is $164000 to $211000
The expected salary range(s) for this role as of the date of this posting is/are based on factors including, but not limited to, experience, qualifications, education, location and skill level. This role may also be eligible for discretionary incentive compensation. For benefits information, please visit 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.
Your team
You'll be working on the Broker Dealer Regulatory Governance Team (BDRG), a unit within Compliance and Operational Risk Control (C&ORC). We are focused on the investment bank division and conduct reviews of UBS's various businesses in order to proactively identify compliance issues (e.g., securities laws and broker-dealer rules & regulations, prudential regulations) and ensure adequate controls are in place to mitigate associated risks. We are primarily responsible for conducting institutional branch inspections and performing examinations of UBS's controls and compliance framework in support of CEO and CCO annual certification requirements for the Broker Dealer. BDRG also conducts Market Access, Reg M reviews and assists with Dodd Frank Swap Dealer and Futures Commission Merchant annual reviews.
Your expertise
• BA or international equivalent
• ideally 7+ years experience with major investment or commercial bank or with a major law firm or consulting firm providing advice to major investment or commercial banks
• familiarity with SEC and FINRA regulations related to Broker Dealers
• strong understanding of derivative products and related processes
• excellent research and analytical skills
• highly organized and capable of dealing with multiple projects simultaneously
• highly proficient in Microsoft Office applications (Word, Excel, PowerPoint) and strong ability to learn new in-house developed technologies
• strong written and verbal communication skills
• excellent teamwork, interpersonal and conflict resolution skills
About us
UBS is the world's largest and the 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..
We have a presence in all major financial centers in more than 50 countries.
Salary information
US Only: The expected salary range for this role is $164000 to $211000 based on factors including, but not limited to, experience, qualifications, education, location and skill level. Please see "Your role" section for detailed salary information.