Rates and Structured Finance Compliance Officer

Min 5 yrs required

Full-time

No

•ability to work independently and within a team, with a strong attention to detail and ability to manage multiple priorities and deadlines
•understanding of regulatory requirements, market trends and industry best practices within the Rates and Structured Finance Products businesses

Nice to have:
•experience in the financial services industry, specifically in a Rates and Structured Finance role
•knowledge of relevant regulations and laws such as Dodd-Frank, Volcker Rule, and MiFID II
•experience with regulatory exams and inquiries

Your Benefits

• flexible working arrangements
• comprehensive insurance coverage (including private medical, paternity and maternity leave, and health screenings)
• generous pension scheme
• onsite gym, cafeteria, and health center
• tuition assistance, corporate discounts, and employee discounts
• and more

Why UBS?

We are a truly global, collaborative and friendly group of people. Having a diverse, inclusive and respectful workplace is important to us. And we support your career development, internal mobility and work-life balance. If this sounds interesting, apply now.

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?

Apply now.



The Rates and Structured Finance Compliance Officer role is a full-time position in New York, United States. The ideal candidate will have a bachelor’s degree or higher in Business/Accounting/Finance/Law or a similar field, with at least 5 years of experience in Compliance, legal, risk control or audit. They should also have knowledge and experience in Rates and Structured Finance areas, and be able to drive sustainable change and influence regulation while upholding industry leading standards. The role will involve liaising with management in the Rates and Structured Finance Products businesses, drafting and publishing policies and procedures, participating in regulatory exams and inquiries, and providing subject matter expertise on laws and regulations pertaining to sales and trading activities in these areas.

Key Responsibilities:

• Act as a subject matter expert covering the Rates and Structured Finance Products businesses
• Liaise with management in the Rates and Structured Finance Products businesses, including the Primary Dealer, Government Sponsored Enterprise, and Structured Finance businesses, as well as functional leaders in compliance, legal, risk and other areas to provide effective challenge, guidance, and advice
• Participate in the Best Execution forums and various other regional, global, and cross-product committees
• Provide subject matter expertise on existing, new, or updated laws, rules and regulations pertaining to Rates and Structured Finance Products sales and trading activities
• Draft and publish policies and procedures that pertain to the Rates or Structured Finance Products business
• Participate and provide support in regulatory exams and inquiries, complete relevant Compliance Risk Assessments, develop and deliver compliance trainings, and perform thematic reviews to assess emerging risk themes

Qualifications:

• Bachelor’s degree or higher in Business/Accounting/Finance/Law or similar field
• 5+ years of experience in Compliance, legal, risk control or audit with experience in Rates and / or Structured Finance areas
• Ability to drive sustainable change, influence regulation and uphold industry leading standards, and help develop and drive culture and conduct agenda
• Able to join the dots across divisions and business areas and collaborate to provide a more holistic risk control environment
• Take ownership and act with integrity while demonstrating strong interpersonal and leadership skills
• Intellectually curious and able to critically challenge and verify
• Able to work in a fast-paced and dynamic environment, leveraging data analytics and technological capabilities
• Possesses sound judgment, curiosity and can adapt to a changing regulatory landscape
• Excellent presentation and communication skills with ability to present to and respond effectively to senior internal and external stakeholders
• Ability to work independently and within a team, with a strong attention to detail and ability to manage multiple priorities and deadlines
• Understanding of regulatory requirements, market trends and industry best practices within the Rates and Structured Finance Products businesses

Nice to have:
• Experience in the financial services industry, specifically in a Rates and Structured Finance role
• Knowledge of relevant regulations and laws such as Dodd-Frank, Volcker Rule, and MiFID II
• Experience with regulatory exams and inquiries

Your benefits:

• Flexible working arrangements
• Comprehensive insurance coverage (including private medical, paternity and maternity leave, and health screenings)
• Generous pension scheme
• Onsite gym, cafeteria, and health center
• Tuition assistance, corporate discounts, and employee discounts
• And more

Why UBS?

We are a truly global, collaborative and friendly group of people. Having a diverse, inclusive and respectful workplace is important to us. And we support your career development, internal mobility and work-life balance. If this sounds interesting, apply now.

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? Apply now.

Salary information:

The salary for this position is competitive and will be based on the candidate's qualifications and experience.

Job title:

Rates and Structured Finance Compliance Officer

Experience information:

• Bachelor’s degree or higher in Business/Accounting/Finance/Law or similar field
• 5+ years of experience in Compliance, legal, risk control or audit with experience in Rates and / or Structured Finance areas

H1:

Join our team as a Rates and Structured Finance Compliance Officer

Not specified

Not specified

Not specified

Subject Matter Expertise, Liaising, Management, Functional Leaders, Best Execution, Regional, Global, Cross-Product Committees, Laws, Rules, Regulations, Policies, Procedures, Regulatory Exams, Compliance Risk Assessments, Compliance Trainings, Thematic Reviews, Risk Themes, Independent Oversight, Challenge, Control, Non-Financial Risks, Risk Appetite, Second Line of Defense, Risk Assessment, Measurement, Aggregation, Reporting, Non-Compliance, Risk Control, Diversity, Equity, Inclusion, Sustainable Change, Influence, Culture, Conduct Agenda, Interpersonal Skills, Leadership Skills, Judgment, Curiosity, Data Analytics, Technological Capabilities, Presentation, Communication, Stakeholder Management

Bachelor's Degree or higher in Business/Accounting/Finance/Law or similar field

Interested candidates can apply through the career comeback program on .

Qualification and Experience Bachelor's Degree or higher in Business/Accounting/Finance/Law or similar field

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