Head Of Equities Compliance

UBS New York , NY 10007

Posted 3 months ago

Are you risk averse but risk aware? Do you know how to maintain independence and objectivity? Do know how to evaluate risks in a challenging and fast paced environment? We are looking for someone like that who can:

  • lead a team of compliance subject-matter experts for the Equities Division of the Investment Bank (IB)
  • understand the business, key risks, regulations and technology impacting the business
  • establish, maintain and review policies, procedures and controls reasonably designed to comply with laws, rules, regulations, and industry standards
  • actively participate in governance forums, committees, or new business initiatives
  • engage the business daily in communications and trainings to challenge, educate and guide on compliance, conduct and operational risks, including supporting the business in maintaining high standards of culture and behavior
  • work closely with colleagues in Legal, Global Internal Audit and C&ORC, including on regulatory changes, risk assessments, monitoring and surveillance, testing, training and regulatory engagement
  • ensure compliance risk frameworks are designed well and operating effectively
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Head Of Equities Compliance