UBS Financial Services IB Strategic Regulatory Initiatives Compliance Officer in New York, New York
Are you independent, analytical and have strong organizational skills to assist with the implementation of new regulation impacting Consolidated Audit Trail?
CAT is a comprehensive new regulatory reporting requirement, central to US regulatory efforts, that is designed to replace the current OATS reporting system.
We are looking for someone who can:
• implement the new Consolidated Audit Trail regulation.
• develop and implement policies and procedures for the business and support teams dealing with Consolidated Audit Trail.
• conduct deep dive reviews of Consolidated activities.
• 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
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.
Keen to achieve the work-life agility that you desire? We're open to discussing how this could work for you (and us).
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 will be working in the Compliance and Operational Risk Control Strategic Regulatory Initiatives Team. The team is located in New York, Chicago, IL, Weehawken, NJ, and Nashville, TN. We are responsible for implementing strategic regulatory initiatives, including the development of a governance structures, prior to the compliance date of the initiative.
• BA or international equivalent
• 5+ 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, specifically regulations related to Consolidated Audit Trail
• 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
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 more than 50 countries. Do you want to be one of us?
Job Reference #: 172783BR
Business Divisions: Corporate Center
Title: IB Strategic Regulatory Initiatives Compliance Officer
City: New York
Job Type: Full Time
Country / State: United States - New York
Function Category: Compliance