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UBS Financial Services Fixed Income Advisory Compliance & Operational Risk Officer in New York, New York

Fixed Income Advisory Compliance & Operational Risk Officer

United States - New York


Corporate Center

Job Reference #:



New York

Job Type:

Full Time

Your role:

Are you risk averse but risk aware? Do you know how to maintain independence and objectivity? Do you like working in a challenging and fast paced environment? We are looking for someone like that who can:

  • act as a compliance and operational risk control subject-matter expert for the Credit Sales & Trading business within the Global Markets division of the Investment Bank (IB);

  • identify, assess, draft and implement relevant policies, procedures, guidelines, and processes related to the Credit Sales and Trading business, investment grade & high yield corporates, secondary loan trading and credit indices

  • guide, challenge and advise multiple complex business units regarding compliance and regulatory obligations;

  • ensure risk frameworks are designed well and operating effectively;

  • develop and deliver in-person compliance training;

  • work closely with colleagues in Compliance & Operational Risk Control (C&ORC) to promote best practice and consistency across divisions and asset classes.

Your team:

You’ll be working in the IB Americas C&ORC team in New York, which is a part of the Group Compliance, Regulatory and Governance function, coordinating daily with colleagues around 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:

You Have:

  • a BS/BA degree (MBA or JD a plus)

  • 8-10 years experience in risk management, risk control, audit or compliance

  • existing subject matter expertise of the broad range of regulations that impact the Credit Sales & Trading business areas in which UBS is engaged

  • the ability to make decisions, resolve conflicts and exercise sound judgment under pressure

  • strong interpersonal and leadership skills, with the ability to successfully implement and deliver change.

  • Experience in facing off with front office management

You Are:

  • 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, possessing attention to detail and organization skills, as well as excellent presentation and communication skills

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.

Your Career Comeback:

We are open to applications from career returners. Find out more about our program on at .