UBS Financial Services Corporate Client Solutions Compliance & Operational Risk Officer in New York, New York

Your role:

Are you a team player and a problem solver? Do you know how to evaluate risks to make the right call in a challenging and fast-paced environment? Are you looking for a Compliance & Operational Risk Control (C&ORC) role that will give you exposure to the investment banking business and a range of stakeholders at all levels of the organization? We are looking for someone like that to:

– provide coverage of the investment banking (Corporate Client Solutions, “CCS”) businesses, including Advisory, Capital Markets, and Leveraged Finance

– interpret and enforce applicable rules and regulations

– provide effective and timely compliance education, guidance and challenge to the business and escalate potential problems

– draft and implement policies, procedures and controls

– conduct a robust training program

– coordinate special projects, risk assessments and ‘deep-dives’

– establish and maintain effective relationships within C&ORC, Legal, Research & CCS

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:

You’ll be working in the Corporate Client Solutions C&ORC team in New York. Our team provides C&ORC services primarily for investment bankers and operates closely with the Research C&ORC and Control Room functions. We are subject matter experts in the broad range of business areas in which we operate and the relevant regulatory requirements. On this team, no two days are the same. We provide advice and challenge to the business, second, and third-line of defense, interpret and enforce applicable rules and regulations, develop and implement policies, procedures and controls, conduct risk assessments and deliver training.

Your expertise:

You have:

– minimum of 5 years of compliance or legal, ideally with an investment banking or capital markets focus

– a solid understanding of the key legal and regulatory requirements that apply to investment banking and capital markets activities

– excellent presentation and communication skills

  • JD degree preferred

You are:

– a strong team player who can collaborate effectively with key stakeholders

– able to provide clear, timely and appropriate guidance and challenge

– able to work well under pressure and multi-task

– confident in your decision making abilities and able to manage your workload independently and know when to escalate

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 #: 186165BR

Business Divisions: Corporate Center

Title: Corporate Client Solutions Compliance & Operational Risk Officer

City: New York

Job Type: Full Time

Country / State: United States - New York

Function Category: Compliance