UBS Financial Services Equity and Equity Derivative Compliance Officer in New York, New York

Job Reference #:


Business Divisions:

Corporate Center

Your role:

Are you someone who likes taking on responsibility? Are you looking to be a subject matter expert? We are looking for someone like that to:

– be the compliance officer responsible for liaising 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 Cash and Equity Derivatives businesses within the global ICS 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 and 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.


Equity and Equity Derivative Compliance Officer


New York

Job Type:

Full Time

Country / State:

United States - New York

Function Category:


What we offer:

Together. That’s how we do things. We offer people around the world a supportive, challenging and diverse working environment. We value your passion and commitment, and reward your performance.

Why UBS? Video

Take the next step:

Are you truly collaborative? Succeeding at UBS means respecting, understanding and trusting colleagues and clients. Challenging others and being challenged in return. Being passionate about what you do. Driving yourself forward, always wanting to do things the right way. Does that sound like you? Then you have the right stuff to join us. 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 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 experience and skills:

You have:

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

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

– knowledge of equities and/or fixed income products and trade flows, with a focus on automated trading systems

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

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

You are:

– goal-oriented, a self-motivated leader with strong communication skills and excellent written and verbal communication skills

– well organized and detail orientated

– able to critically verify and challenge processes and documentation with an independent mindse

– proficient user of Word, Excel and PowerPoint and skilled at data analytics

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 almost 900 offices and more than 50 countries. Do you want to be one of us?