Equities Compliance & Operational Risk Control (C&ORC)

Profile

Equities Compliance & Operational Risk Control (C&ORC)
Duties: Serving as both an effective challenger and a trusted advisor, business-aligned Compliance Officers are integrated into multiple dimensions of first line risk-taking activities. As a member of the advisory Compliance team supporting our US institutional equities sales and trading businesses, will require excellent communication and interpersonal skills, superb integrative thinking across all facets of operational risk, and a desire to help the enterprise properly manage operational risk. Act as a compliance subject-matter expert for the institutional equities business of the Investment Bank (IB) and providing advisory compliance services to the business on live sales and trading issues, rules and regulations, and regulatory developments. Evaluating new products, business changes and new business initiatives from a compliance perspective. Providing challenge to the First Line of Defense’s risk-taking decisions and risk assessments. Research new and existing rules and regulations and either draft or maintain compliance policies and procedures designed to address regulatory obligations. Training the institutional equities business on relevant rules, regulations and firm policy that impact sales and trading. Work closely with colleagues in Legal, Global Internal Audit and C&ORC, including on regulatory changes, inquiries and examinations, risk assessments, monitoring and surveillance, testing, training and regulatory engagement. Ensure compliance risk frameworks are designed well and operating effectively. Developing ad-hoc analysis, deep dive investigations, control testing, and driving specific risk initiatives. Working in the IB Americas C&ORC team in New York, which is a part of the Group Compliance, Regulatory and Governance function, partnering daily with staff in Investor Client Services (“ICS”), which provides equities brokerage services to institutional customers, including an execution and prime brokerage offering for cash equities, equity derivatives and other related products.

Qualification and Experience

Qualifications: A BS/BA degree (MBA or JD Degree a plus). 2+ years’ experience in advisory compliance covering institutional equities sales and trading desks. Working knowledge of the broad range of rules and regulations that apply to institutional equities broker-dealers, including those promulgated by FINRA and the SEC. Strong research and writing skills. Successful experience of leadership, both in terms of people as well as projects and initiatives. Strategic, judgement and integrative thinking skills, deep risk management knowledge, as well as good organizational, communication and influencing skills. A strong team player who can collaborate and communicate effectively with key stakeholders to drive change. Able to manage and prioritize multiple tasks or projects in order to meet both internal and external deadlines. Able to make decisions, resolve conflicts, challenge the first line of defense and exercise sound judgment under pressure. 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.

Additional info

Job Reference # 198252BR

Company info

Hiring Coordinator
UBS
1285 Avenue of the Americas
New York City, NY 10019