Broker Dealer Regulatory Governance Specialist - UBS : Job Details

**Broker Dealer Regulatory Governance Specialist**

United States - New York

Compliance

Group Functions

Job Reference #

247239BR

City

New York

Job Type

Full Time

Your role

We are looking for someone who can:

assist in the planning, coordination, and delivery of our team's annual review plan

review and challenge the effectiveness of existing controls as well as investigate potential regulatory violations and control deficiencies

prepare detailed work papers to support the results of the review program

collaborate extensively with the relevant business management teams, various control & logistics functions and Legal to ensure compliance with regulatory requirements and firm policies and procedures

coordinate and actively participate in internal and external governance and advocacy forums

articulate an independent and balanced opinion in written and oral form

travel (on occasion) although not required during the pandemic

Your Career Comeback

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

Your team

Our team sits within the Group Compliance Regulatory Governance (GCRG) which aims to build trust, help safeguard our business, and support controlled growth and strive for new ways to proactively identify and control existing and emerging risks in a rapidly changing and increasingly digital world. The Investment Bank Divisional Compliance and Operational Risk (C&ORC) team helps accomplish this by providing independent oversight, challenge and control over the non-financial risks arising from our business activities across multiple levels to ensure compliance, conduct and operational risks are understood, owned, and managed to the Firm's risk appetite. Youll be working on the Broker Dealer Regulatory Governance Team (BDRG), a unit within C&ORC. We are focused on the investment bank division and conduct reviews of OUR various businesses to proactively identify compliance issues (e.g., securities laws and broker-dealer rules & regulations, prudential regulations) and ensure adequate controls are in place to mitigate associated risks. We are primarily responsible for conducting institutional branch inspections and performing examinations of our controls and compliance framework in support of CEO and CCO annual certification requirements for the Broker Dealer.

Diversity helps us grow, together. Thats why we are committed to fostering and advancing diversity, equity, and inclusion. It strengthens our business and brings value to our clients.

Your expertise

bachelors degree or international equivalent

ideally8+ years of experience with FINRA, SEC, major investment or with a major law firm or consulting firm providing advice to major investment or commercial banks

familiarity with SEC and FINRA regulations related to Broker Dealers

strong understanding of regulatory reporting obligations (e.g., Bluesheets, LOPR, TRACE, etc) and excellent research and analytical skills

highly organized and capable of dealing with multiple projects simultaneously

highly proficient in Microsoft Office applications (Word, Excel, PowerPoint) and strong ability to learn new in-house developed technologies

excellent presentation and communication skills with ability to present to and respond effectively to senior internal and external stakeholders, team-oriented with strong interpersonal skills

*UBS-MOGUL

*LI-UBS

UBS is the worlds largest and 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.

Join us

From gaining new experiences in different roles to acquiring fresh knowledge and skills, at UBS 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 were more than ourselves.

Contact Details

UBS Recruiting India

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.

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