UBS Financial Services Equity Derivative Compliance & Operational Risk Officer in New York, New York

Equity Derivative Compliance & Operational Risk Officer

United States - New York


Corporate Center

Job Reference #:



New York

Job Type:

Full Time

Your role:

Are you an experienced compliance professional? we're looking for someone like this to:

–liaise with senior management in the equities division and functional leaders in compliance, legal, risk, and IT to provide effective challenge, guidance and advice

– participate in Compliance & Operational Risk coverage for the Global Equity Derivatives business within the Compliance & Operational Risk (C&ORC) team and participate in various global, regional and cross-product Equity Governance Committees as a representative of the C&ORC organization

– provide subject-matter expertise on rules and regulations pertaining to equity derivative sales and trading activities

– support in the design and implementation of the Operational Risk Framework

– draft and review compliance policies and procedures related to equity and equity derivative sales and trading

– develop and deliver compliance training

Your team:

Compliance and Operational Risk Control (C&ORC) is an independent function providing oversight of the Compliance, Conduct and Operational Risks within the firm. The UBS C&ORC Compliance team is seeking a talented individual to lead and provide compliance support to the Global Equity division of the Investment Bank.

Your expertise:

You have:

– bachelor’s degree or higher in Business/Accountancy/Finance/Law or similar field

– minimum 4 years of experience in Compliance or Regulatory Role or equivalent experience

– knowledge of equity derivatives and associated trade flows.

– excellent written communication skills and competence in portraying complex content in a clear, concise, and compelling manner

– strong business analysis and problem solving skills. Ability to easily to manipulate and analyze broad range of data

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?

Join us:

We're 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.

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.

UBS is proud to be an equal opportunities employer. We are committed to providing equal access to employment opportunities to all prospective employees within the recruitment process. UBS complies with and supports all national and local laws pertaining to non-discrimination and advancement opportunity, including those relating to making reasonable accommodations to the recruitment process for applicants who require them.
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