Research Clearance & Chaperoning Compliance & Operational Risk Control Research Clearance & Chaperoning Compliance &  …

in New York, NY, United States
Permanent, Full time
Last application, 22 Aug 19
in New York, NY, United States
Permanent, Full time
Last application, 22 Aug 19
Job Reference #197591BR

Your role

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:

- act as a compliance subject-matter expert for C&ORC Control Room clearing reports for the Research Division of the Investment Bank (IB) and Wealth Management (WM)
- actively chaperone permissible communications between Research and Investment Banking staff, ensuring compliance with the Global Research Settlement, FINRA rules, and internal policies and procedures designed to preserve Research independence
- understand the businesses, key risks, regulations and technology impacting the businesses, including UBS's systems which manage the firm's Grey and Restricted Lists and our Information Barriers 
- 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 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

Your team

You’ll be working in the IB Americas C&ORC team in New York, which is a part of the Group Compliance, Regulatory and Governance function, partnering daily with staff in the Control Room, Research C&ORC, and the Research business. UBS is the global industry leader in Investment Research, delivering differentiated content across sectors, asset classes, and client interests. C&ORC is an independent risk management function, who identify and assess compliance and operational risk in an environment of integrity, collaboration and effective independent challenge.

Your expertise

You have:
- a BS/BA degree (MBA or JD a plus)
- minimum of 2 years' experience in compliance, legal, risk control, audit or Investment Bank role 
- existing knowledge of the broad range of Control Room functions, Research and broader Investment Bank business activities and key compliance and operational risks 

You are:
- a strong team player who can collaborate and communicate effectively with key stakeholders to drive change 
- able to provide clear, timely and appropriate guidance and independent challenge and know when to escalate
- able to make decisions, resolve conflicts and exercise sound judgment under pressure
- able to operate at both a detailed and strategic level, possessing attention to detail and organization skills, as well as excellent presentation and communication skills

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 more than 50 countries. Do you want to be one of us?

Join us

We're a truly global, collaborative and friendly group of people. Having a diverse, inclusive and respectful workplace is important to us. And we support your career development, internal mobility and work-life balance. If this sounds interesting, 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.