Equity Sales And Trading Compliance Officer
New York, NY
Your role
Are you risk averse but risk aware? Do you know how to maintain independence and objectivity? Do you know how to evaluate risks in a challenging and fast paced environment? We are looking for someone for the following:
• The compliance officer will work on a team responsible for coverage of the Equities Sales and Trading desks. These desks include: Advisory Sales and related Specialty Sales teams, Equity Sales Trading, Equity Trading, Central Risk Book, Exchange Traded Funds and Program Sales Trading
• The compliance officer will also be responsible for liaising with senior management in Equities as well as functional leaders in compliance, legal, risk, and IT to provide effective challenge, guidance, and advice
• The individual will be expected to participate in the Equities Best Execution Committees as well as various other global, regional, and cross-product committees
• Provide subject-matter expertise on laws, rules, and regulations pertaining to Equity Sales and Trading
• Draft and publish policies and procedures that pertain to the Equity Sales and Trading businesses
• Participate and provide support in regulatory exams and inquiries
• Complete Compliance Risk Assessments
• Develop and deliver compliance trainings
Your team
You’ll be working in the IB Global Markets Americas Compliance team in New York, which is a part of the Group Compliance, Regulatory and Governance function, coordinating daily with colleagues throughout the globe. We are a team who partner effectively with the business to manage regulatory risk in an environment of collaboration and constructive challenge. We are responsible for providing independent oversight and control over the consequential risks arising from UBS’ business activities at a global, regional, divisional and entity level.
Your expertise
a BS/BA degree
• ideally 10–15 years’ experience in compliance, legal, risk control or audit with experience in Equity Advisory Sales, Equity Sales Trading, Equity Trading and/or Electronic Trading
• the ability to make decisions, resolve conflicts, and exercise sound judgment under pressure
• strong interpersonal and leadership skills, with the ability to successfully contribute to implementing and delivering change
• analytical with the ability to provide practical solutions for minimizing risk
• able to critically verify and challenge processes and documentation with an independent mindset
• result-oriented and assertive (you don’t shy away from challenging situations)
• able to work in a faced-pace and high-pressure environment
• able to operate at both a detailed and strategic level, with strong attention to detail and organization skills, as well as excellent presentation and communication skills
Please submit resumes to Heather Ring at heather.ring@ubs.com
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.
How to apply:
To apply for this job email your details to heather.ring@ubs.com