Clearing and Prime Brokerage Advisory Compliance Officer

2 weeks ago

New York, New York, United States UBS Full time
Your role
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? We are looking for someone like that who can:

  • act as a compliance subject-matter expert for the Futures and OTC Derivatives Clearing business within 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 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 and Group Compliance, Regulatory & Governance (GCRG) 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 Global Markets Americas Compliance team in New York, which is a part of the GCRG function, working closely with staff in the Prime Brokerage, Securities Lending and Futures and OTC Derivatives businesses within the IB.

We are an independent risk management function, who identify and assess compliance and non-financial risk in an environment of integrity, collaboration, and effective independent challenge.

Prime Brokerage, Securities Lending and Futures and OTC Derivatives Clearing services are offered within the Financing Services business within the Global Markets Division of the IB

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

Your expertise
a BS/BA degree (MBA or JD a plus)

  • 5+years' experience in compliance, legal, risk control, or audit
  • existing knowledge of, or strong desire to learn, the broad range of Prime Brokerage, Securities Lending, and/or Futures business activities, applicable regulations, and key compliance and non-financial risks
  • 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, analytical and organization skills, as well as excellent presentation skills
  • results-oriented and assertive (you don't shy away from challenging situations)
About us
UBS is the world's 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.

With more than 70,000 employees, we have a presence in all major financial centers in more than 50 countries. Do you want to be one of us?

Salary information

CA, CO, WA and NY based roles: The salary range for this role is $160,000 to $210,000 based on experience, education, and skill level.

This role may be eligible for discretionary incentive compensation.

For benefits information:
Join us
At UBS, we embrace flexible ways of working when the role permits. We offer different working arrangements like part-time, job-sharing and hybrid (office and home) working.

Our purpose-led culture and global infrastructure help us connect, collaborate, and work together in agile ways to meet all our business needs.


From gaining new experiences in different roles to acquiring fresh knowledge and skills, 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 we're more than ourselves. Ready to be part of #teamUBS and make an impact?

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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