UBS Financial Services Regulatory Affairs Counsel in New York, New York
Regulatory Affairs Counsel
United States - New York
Job Reference #:
Would you like to work in a fast-paced environment that presents opportunities to take on significant responsibility?
We’re looking for a Regulatory Affairs Counsel to:
• serve as the face of UBS's Investment Bank to its regulators in presenting our commitment to regulatory compliance and our strong culture of integrity and transparency
• coordinate and oversee regulatory examinations, inquiries, enforcement investigations and ad hoc requests from securities regulators, partnering with various internal departments to gather required data, draft responses, negotiate resolutions and drive regulator-initiated remediation
• manage and oversee regulatory matters (inquiries, exams, investigations, enforcement matters and ad hoc requests) which will include regular interaction with regulatory personnel, UBS senior management and other groups throughout the firm
• build and maintain exemplary relationships with the Firm's regulators
• identify, organize and coordinate document productions including assessing responsiveness and ensuring information is presented in an accurate, complete and timely manner
• negotiate formal disciplinary actions as needed
• represent firm personnel in "on-the-record" interviews conducted by regulators
• work closely with business and compliance personnel to formulate remedial actions and track/drive their implementation
• create and distribute internal reports relating to pending regulatory matters
You will be an integral part of the Securities Regulatory Affairs team aligned with the UBS Investment Bank in the U.S. This dynamic team of attorneys and analysts handles all aspects of SEC, FINRA and other regulatory matters relating to our IB business, and partners with senior business managers to complete and accurate responses and ensure execution of regulatory-driven remediation.
• ideally 5+ years of experience in another broker-dealer, regulatory entity, or law firm practicing in investment banking regulatory matters, preferably in connection with examinations or regulatory inquiries
• significant experience with and understanding of FINRA, SEC, futures (including but not limited to CFTC, CME, ICE Futures US), Rules and Regulations, particularly those pertaining to trading activities of equities, fixed income products, and options, as well as attendant regulatory reporting requirements
• strong organizational and project management skills, strong written and verbal communication skills, and the ability to multi-task
• ability to identify and escalate issues of potential regulatory risk in a timely and succinct manner
• ability to work in a high pressure environment, manage multiple matters with competing and important interests and adhere to strict deadlines
• ability to work collaboratively with numerous stakeholders at all levels of seniority throughout our firm
• proficient in Microsoft Word, Excel and PowerPoint
• possess a JD from an accredited law school and license to practice law in New York, or ability to obtain appropriate licensure as in-house counsel
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?
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 ubs.com/careercomeback at https://www.ubs.com/global/en/careers/career-comeback/welcome.html .