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? You will assist the IB Americas Global Banking Compliance team in the day-to-day guidance on policies, applicable regulations pertaining to the Business and compliance related issues, including but not limited to:


• Collaborate with senior management in Global Banking/Capital Markets as well as functional leaders in Compliance, Legal, Risk, Conflicts and IT to provide compliance guidance and effectively challenge the business

• Actively participate and provide thought leadership in global, regional, and cross-product committees as the Compliance representative

• Consult on existing, new, or updated laws, rules, and regulations to formulate practical solutions to industry-wide issues and partnering with our peers globally and across platforms (Global Research colleagues, Global Markets colleagues, Control Room peers) for consistency as appropriate

• Consult on a range of topics, including SEC and FINRA regulations impacting Capital Markets business, including Regulation M, IPO rules (5130/5131), 5190 and Trace reporting obligations, Buy-Backs as well as interactions with Research, Information barriers, Conflicts and Wall crossing.

• Participate and provide support in regulatory exams and inquiries

• Complete Compliance Risk Assessments and evaluate/develop effectiveness of key risk controls

• Perform thematic reviews to assess emerging risk themes

• Oversee and provide guidance to junior level team member

Detailed salary information:
• New York: the salary range for this role is $170000 to $245000
The expected salary range(s) for this role as of the date of this posting is/are based on factors including, but not limited to, experience, qualifications, education, location and skill level. This role may also be eligible for discretionary incentive compensation. For benefits information, please visit ubs.com/usbenefits.