Equity Derivates Compliance Officer
Apply NowCompany: UBS
Location: Weehawken, NJ 07086
Description:
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 be responsible for primary coverage of the Global Equities Derivatives Trading business. For all responsibilities the individual will liaise with management in Equities division and functional leaders in compliance, legal, risk, and IT to provide effective challenge, guidance, and advice.
Provide subject-matter expertise on rules and regulations pertaining to equity derivatives trading, including but not limited to: FINRA 2360, FINRA 2220, and /or Options Exchange Rules and Regs.
The individual will be expected to participate in various global and regional Equities Derivatives Trading Governance Forums.
Work with Sales, Trading, Quantitative Analysts, and Technology teams to review risks associated with derivatives trading, providing guidance on controls implementation and testing.
Perform critical assessment and challenge during the development and implementation of derivatives trading systems.
Work closely with colleagues in Group Compliance, Regulatory & Governance (GCRG) to promote best practice and consistency across divisions.
Draft and review compliance policies and procedures related to equities trading.
Develop and deliver compliance training.
Join us
At UBS, we embrace flexible ways of working when the role permits. We offer different working arrangements like part-time, job-sharing and hybrid (office and home) working. Our purpose-led culture and global infrastructure help us connect, collaborate, and work together in agile ways to meet all our business needs.
From gaining new experiences in different roles to acquiring fresh knowledge and skills, we know that great work is never done alone. We know that it's our people, with their unique backgrounds, skills, experience levels and interests, who drive our ongoing success. Together we're more than ourselves. Ready to be part of #teamUBS and make an impact?
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 IB Global Markets Americas Compliance team in New York, which is a part of the GCRG 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 5-7 years' experience in compliance, legal, risk control or audit with experience Equity Derivative Sales Trading, Equity Derivative Trading, Structured Products, Quantitative Investment Strategies ("QIS") and/or Electronic Options 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 fast-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
About us
UBS is the world's largest and the only truly global wealth manager. We operate through four business divisions: Global Wealth Management, Personal & Corporate Banking, Asset Management and the Investment Bank. Our global reach and the breadth of our expertise set us apart from our competitors..
We have a presence in all major financial centers in more than 50 countries.
Salary information
CA, CO, WA and NY based roles: The salary range for this role is $150,000 to $190,000 based on experience, education, and skill level. This role may be eligible for discretionary incentive compensation. For benefits information: ubs.com/usbenefits.
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 be responsible for primary coverage of the Global Equities Derivatives Trading business. For all responsibilities the individual will liaise with management in Equities division and functional leaders in compliance, legal, risk, and IT to provide effective challenge, guidance, and advice.
Provide subject-matter expertise on rules and regulations pertaining to equity derivatives trading, including but not limited to: FINRA 2360, FINRA 2220, and /or Options Exchange Rules and Regs.
The individual will be expected to participate in various global and regional Equities Derivatives Trading Governance Forums.
Work with Sales, Trading, Quantitative Analysts, and Technology teams to review risks associated with derivatives trading, providing guidance on controls implementation and testing.
Perform critical assessment and challenge during the development and implementation of derivatives trading systems.
Work closely with colleagues in Group Compliance, Regulatory & Governance (GCRG) to promote best practice and consistency across divisions.
Draft and review compliance policies and procedures related to equities trading.
Develop and deliver compliance training.
Join us
At UBS, we embrace flexible ways of working when the role permits. We offer different working arrangements like part-time, job-sharing and hybrid (office and home) working. Our purpose-led culture and global infrastructure help us connect, collaborate, and work together in agile ways to meet all our business needs.
From gaining new experiences in different roles to acquiring fresh knowledge and skills, we know that great work is never done alone. We know that it's our people, with their unique backgrounds, skills, experience levels and interests, who drive our ongoing success. Together we're more than ourselves. Ready to be part of #teamUBS and make an impact?
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 IB Global Markets Americas Compliance team in New York, which is a part of the GCRG 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 5-7 years' experience in compliance, legal, risk control or audit with experience Equity Derivative Sales Trading, Equity Derivative Trading, Structured Products, Quantitative Investment Strategies ("QIS") and/or Electronic Options 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 fast-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
About us
UBS is the world's largest and the only truly global wealth manager. We operate through four business divisions: Global Wealth Management, Personal & Corporate Banking, Asset Management and the Investment Bank. Our global reach and the breadth of our expertise set us apart from our competitors..
We have a presence in all major financial centers in more than 50 countries.
Salary information
CA, CO, WA and NY based roles: The salary range for this role is $150,000 to $190,000 based on experience, education, and skill level. This role may be eligible for discretionary incentive compensation. For benefits information: ubs.com/usbenefits.