UBS Financial Services FCM Chief Compliance Officer in Weehawken, New Jersey
Are you an expert on the complexities of the derivatives markets and the regulations that govern them? Do you specialize in CFTC regulations or the rules of the NFA and futures exchanges? We are looking for someone like that to:
–\tAdvise the Wealth Management USA business on transacting in futures and other derivatives
–\tAdvise on the preparation of futures-related regulatory submissions and responses to regulatory inquiries
–\tReview existing business practices against regulatory requirements and industry best practices to seek out improvements and challenge the status quo
–\tPrepare the Annual Chief Compliance Officer Report for the Futures Commission Merchant (FCM)
–\tActively identify FCM-related risks and monitor remediation of them to ensure they are sustainably addressed
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’ll oversee the Compliance & Operational Risk Control activities for the FCM business within the Capital Markets Compliance & Operational Risk Control team supporting UBS's Wealth Management USA business. We support business management, traders, financial advisors and their branch management with guidance to ensure compliance with the firm's obligations as an FCM.
Your experience and skills:
–\tat least a bachelor's degree, preferably with an additional advanced degree (e.g., MBA, JD)
–\ta Series 3 license, or the ability to pass the Series 3 exam within 3 months
–\tan expert-level understanding of the regulatory requirements applicable to the futures markets, and a broad knowledge of the trading, operational, and risk management practices within an FCM and/or broker-dealer
–\tproven leadership skills including managing staff outside your direct supervisory chain
–\texperience in futures risk management, risk control, audit or compliance
–\texperience working with a regulatory agency or self-regulatory organization (e.g., NFA, CME, CFTC)
–\ta working knowledge of Dodd-Frank Title VII swaps requirements and the corresponding regulations
–\table to read and understand the rules and regulations that govern the complex derivatives market
–\table to write well and able to explain complex details in a concise manner that is easily understood
–\table to provide clear and articulate guidance to internal stakeholders on policy and regulatory requirements, interacting with individuals at all levels within an organization
–\tdetail oriented and able to challenge business requests with an independent mindset
–\twell organized and capable of dealing with multiple projects simultaneously
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 #: 176840BR
Business Divisions: Corporate Center
Title: FCM Chief Compliance Officer
Job Type: Full Time
Country / State: United States - New Jersey
Function Category: Compliance, Risk