UBS Financial Services Trade & Transaction Reporting Compliance & Operational Risk Officer in New York, New York

Your role:

  • You will be responsible for coordinating with IT and business personnel to develop requirements and specifications for the successful implementation of the Consolidated Audit Trail (\"CAT\") reporting system.

  • You will review CAT system design and functionality to ensure consistency with the rule and technical specifications.

  • You will also be responsible to be a subject-matter expert for US Trade & Transaction Reporting systems including Bluesheets, OATS, LOPR, etc.

  • Work closely with the Business, Technology and Operations to assess risks related to booking flows.

  • In partnership with Technology manage a program to ensure technology changes and upgrades that impact regulatory reporting requirements are done in a manner that does not negatively impact such reporting requirements.

  • Provide material assistance to provide timely information related to regulatory inquiries and for regulatory examinations (i.e. FINRA TFCE).

  • Work to continuously improve the Firm's existing regulatory framework by improving processes and creating a durable control environment.

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.

Your team:

Compliance and Operational Risk Control (C&ORC) is an independent function providing oversight of the Compliance, Conduct and Operational Risks within the firm. The UBS C&ORC Compliance team is seeking a talented individual to lead and provide compliance support to the Investment Bank of UBS.

Your experience and skills:

You have:

– Bachelor’s degree or higher in Business, Accountancy, Finance, Law or similar field.

– Minimum 2-4 years of experience in Compliance or Regulatory Role or equivalent experience

– Knowledge of equities and/or fixed income products and trade flows, with a focus on trading systems and reporting processes.

– Excellent written communication skills and competence in portraying complex content in a clear, concise, and compelling manner.

– Strong business analysis and problem solving skills. Ability to easily to manipulate and analyze broad range of data.

About us:

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?

Your colleagues:

Job Reference #: 171358BR

Business Divisions: Corporate Center

Title: Trade & Transaction Reporting Compliance & Operational Risk Officer

City: New York

Job Type: Full Time

Country / State: United States - New York

Function Category: Compliance