UBS Financial Services Fixed Income Compliance Officer in New York, New York
Job Reference #:
Are you risk averse but risk aware? Do you know how to maintain independence and objectivity? Do you like working in a challenging and fast paced environment? Do you have experience drafting and reviewing compliance policies and procedures and developing and delivering in-person compliance training? We are looking for someone like that who can:
act as a compliance and operational risk control subject-matter expert for the FRC Credit sales and trading division of the Investment Bank (IB)
identify, assess, draft and implement relevant policies, procedures, guidelines, and processes related to the fixed income, Credit Sales and Trading business
guide, challenge and advise multiple complex business units regarding compliance and regulatory obligations
work closely with colleagues in Compliance & Operational Risk Control (C&ORC) to promote best practice and consistency across division and asset classes and perform independent reviews and report on the remediation of operational risk issues
assist Control Room staff with the maintenance of information barriers and managing conflicts of interest for The FRC Credit business
responsible for providing challenge and enforcing rules and regulations applicable to US fixed income credit trading and - ensure risk frameworks are designed well and operating effectively
Fixed Income Compliance Officer
Country / State:
United States - New York
What we offer:
Together. That’s how we do things. We offer people around the world a supportive, challenging and diverse working environment. We value your passion and commitment, and reward your performance.
Why UBS? Video
Take the next step:
Are you truly collaborative? Succeeding at UBS means respecting, understanding and trusting colleagues and clients. Challenging others and being challenged in return. Being passionate about what you do. Driving yourself forward, always wanting to do things the right way. Does that sound like you? Then you have the right stuff to join us. Apply now.
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.
You’ll be working in the IB Americas C&ORC team in New York, which is a part of the Group Risk Control function, coordinating daily with C&ORC colleagues throughout the global. C&ORC aims to ensure that all compliance, conduct and operational risks are understood, owned and managed to the firm's risk appetite. We are responsible for providing independent oversight and control over the consequential risks arising from UBS’ business activities at a global, regional, divisional and entity level.
Your experience and skills:
a BS/BA degree (MBA or JD a plus) and 5+ year's experience in risk management, risk control , audit or compliance
excellent written communication skills and competence in portraying complex content in a clear, concise, and compelling manner
existing knowledge of the broad range of business areas in which UBS is engaged
the ability to make decisions, resolve conflicts and exercise sound judgment under pressure
strong interpersonal and leadership skills, with the ability to successfully implement and deliver change.
analytical with the ability to provide practical solutions for minimizing risk
able to critically verify and challenge processes and documentation with an independent mindset
result-oriented and assertive (you don’t shy away from challenging situations) and able to work in a fast-paced and high-pressure environment
able to operate at both a detailed and strategic level, possessing attention to detail and organization skills, as well as excellent presentation and communication skills
Expert advice. Wealth management. Investment banking. Asset management. Retail banking in Switzerland. And all the support functions. That's what we do. And we do it for private and institutional clients as well as corporations around the world.
We are about 60,000 employees in all major financial centers, in almost 900 offices and more than 50 countries. Do you want to be one of us?