Swaps Dealer Regulatory Governance Officer

3 weeks ago


Stamford, Connecticut, United States UBS Full time
Your role
Are you an expert in CFTC Swap Dealer and SEC Security-Based Swap Dealer rules? Are you interested in joining a global team that overseas regulatory requirements and controls frameworks? Do you have experience with providing guidance, conducting risk assessments, testing and regulatory implementations?

We're looking for someone like that to:

  • assist in the planning, coordination and delivery of our team's annual Swap Dealer and security-based swap dealer review plan
  • contribute as lead or joint reviewer for complex rules-based Swap Dealer reviews by analysing and providing credible challenge on key processes, procedures and controls
  • draft and issue impactful reports setting out the findings, conclusions, ratings and remedial actions
  • prepare detailed work papers to support the results of the review
  • assist management with the reporting of results, trends, issues and themes to Swap Dealer governance and risk committees
  • participate in the development and enhancement of testing methodologies and standards
  • contribute as lead or joint assessor in the execution of the annual rules-based Compliance Risk Assessments
  • provide advisory and support to firm-wide stakeholders on queries regarding rule interpretation, product classification, or client eligibility, etc.
  • perform second line of defence monitoring of certain processes that impact compliance with the rules
  • provide support on regulatory examinations and internal audits, including driving associated remediations with relevant stakeholders
  • participate in the governance of deemed associated persons for Swaps


Swap Dealer Regulatory Governance is also responsible for the development, maintenance and execution of our Swap Dealer testing program across all divisions.

These testing results are used to support the annual Swap Dealer Chief Compliance Officer certification stating that the Swap Dealer has policies and procedures that are reasonably designed to comply with the Commodity Futures Trading Commission's and Securities & Exchange Commission's Swap Dealer regulations

Your team
You'll be working in the Swap Dealer Regulatory Governance team, within Investment Bank Compliance & Operational Risk Controls (IB C&ORC)

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

  • university degree in finance, economics, business administration or numerical discipline, M.B.A. or other relevant advanced degree a plus
  • 5+ years of experience in the financial services industry, in-house audit at a financial institution or examination experience at a financial industry regulator a plus
  • knowledge of swaps and security-based swaps products and markets
  • knowledge of U.S. SEC SBSD or CFTC Swap Dealer laws and regulations
  • detail-oriented, accurate and able to drive tasks to closure
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.



  • Stamford, Connecticut, United States AXA Group Full time

    Head of TPRM Governance, Risk & ControlsUK - London, France - Paris, USA - Harford or Stamford, India – Gurgaon The objective of Third Party Risk Management (TPRM) at AXA XL is to establish a set of integrated TPRM capabilities that instils appropriate risk management principles allowing AXA XL to holistically and proactively identify, assess, monitor, and...


  • Stamford, Connecticut, United States SGS North America Inc. Full time

    Company DescriptionSGS is the global leader and innovator in inspection, verification, testing and certification services. Founded in 1878, SGS is recognized as the global benchmark in quality and integrity. With over 97,000 employees in 130 countries and operating a network of more than 2,400 offices and laboratories, we provide services to almost every...

  • Audit Supervisor

    6 days ago


    Stamford, Connecticut, United States Bank of America Full time

    Job Description:At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. Responsible Growth is how we run our company and how we deliver for our clients, teammates, communities, and shareholders every day.One of the keys to driving Responsible Growth is being a great place to work for...

  • Underwriter

    4 weeks ago


    Stamford, Connecticut, United States Selby Jennings Full time

    A dynamic and rapidly growing insurance company in Stamford, CT is seeking a talented Commercial Lines Underwriter to join their dedicated team. You will be working on underwriting for their workers comp, general liability, property and commercial auto lines. Responsibilities:Evaluate and analyze commercial insurance applications for risks, ensuring...


  • Stamford, Connecticut, United States Motion Recruitment Full time

    A small IT Services company in Stamford CT is looking for an IT Support Specialist to join their team. This role will be largely about doing technical support work in Azure and Active Directory. The company provides enterprise IT, Cloud and Cybersecurity solutions primarily to clients in healthcare and government. This person will work in their Stamford...

  • Safety Manager

    4 weeks ago


    Stamford, Connecticut, United States WIN Waste Innovations Full time

    WIN Waste Innovations is a waste management company committed to delivering essential waste management solutions to customers and communities supported by our team of 2,100 employees. We believe in preserving our environment for future generations while providing for today's needs. WIN Waste Innovations is a vertically integrated business with a platform of...


  • Stamford, Connecticut, United States gpac Full time

    Overview: We are currently seeking a dedicated Plant Manager to take full responsibility for the budget, technical, and operational performance of our environmental reclamation facility in Adelanto, California. The Plant Manager will oversee all aspects of the facility's operations, ensuring adherence to environmental standards and regulatory compliance...

  • Underwriter

    3 days ago


    Stamford, Connecticut, United States Selby Jennings Full time

    A leading provider of insurance solutions continues to innovate and excel in the insurance industry. Our client is dedicated to delivering exceptional service and tailored insurance products to meet the diverse needs of their clients. As a Commercial Lines Underwriter, you'll play a vital role in assessing risk and ensuring the profitability of their...

  • Manager, Engineering

    4 weeks ago


    Stamford, Connecticut, United States Spectrum Full time

    Responsible for providing direction and support to designated staff within outside plant maintenance. Maintain product integrity and oversee engineering initiatives. Coordinate and collaborate with Construction, Dispatch, Warehouse, Technical Operations and Care operations to ensure optimal customer experience. Responsible for purchasing, budgeting,...


  • Stamford, United States UBS Full time

    Your role Are you an expert in CFTC Swap Dealer and SEC Security-Based Swap Dealer rules? Are you interested in joining a global team that overseas regulatory requirements and controls frameworks? Do you have experience with providing guidance, conducting risk assessments, testing and regulatory implementations? We're looking for someone like that to:•...

  • Avp, Model Governance

    1 month ago


    Stamford, United States Synchrony Full time

    **Job Description**: **Roles Summary/Purpose**: Reporting to the VP, of Model Governance, this role will support the model risk management framework and overall model governance process for Synchrony Financial. We’re proud to offer you choice and flexibility. You have the option to be remote, and work from home, or come into one of our offices. You may be...

  • Associate Attorney

    3 weeks ago


    Stamford, United States Winget, Spadafora & Schwartzberg, LLP Full time

    Job DescriptionJob DescriptionStamford, CT office of Winget, Spadafora & Schwartzberg, LLP is currently seeking an Associate Attorney with 1-3 years of Litigation Experience. Insurance Defense experience is preferred. CT admission is required for varied caseload including professional liability, casualty coverage, employment and/or securities. Hybrid work...

  • Compliance Analyst

    2 weeks ago


    Stamford, United States Grayscale Investments LLC Full time

    Grayscale Investments is the world's largest digital currency asset manager. Through its family of investment products, Grayscale provides access and exposure to the digital currency asset class in the form of a traditional security without the challenges of buying, storing, and safekeeping digital currencies directly. With a proven track record and...


  • Stamford, United States IT People Corporation, Inc. Full time

    Quantitative Developer who will join the Central Research Technology team, which builds strategic solutions for research and live trading of quantitative strategies across multiple frequencies and products. This is a unique opportunity to grow your career with the team while building the next generation of research and quant trading systems. Perm/Direct Hire...


  • Stamford, United States Medi-Weightloss Full time

    Job DescriptionJob DescriptionPosition:  Medical Office Manager  Company: Medi-Weightloss of Wilton and StamfordAbout Us: At Medi-Weightloss, we're on a mission to transform lives by helping individuals achieve their health and weight loss aspirations. Our personalized medical weight loss programs, combined with nutritional guidance and unwavering...


  • Stamford, United States Medi-Weightloss Full time

    Job Description Job Description Position: Medical Office Manager Company: Medi-Weightloss of Wilton and Stamford About Us: At Medi-Weightloss, we're on a mission to transform lives by helping individuals achieve their health and weight loss aspirations. Our personalized medical weight loss programs, combined with nutritional guidance and unwavering support,...


  • Stamford, United States talisman advisory partners Full time

    Job Title: Associate General Legal CounselLocation: Stamford, ConnecticutCompany Overview: This is a leading renewable energy company dedicated to fostering sustainability and environmental responsibility through innovative energy solutions. With a commitment to driving positive change in the renewable energy sector, we are seeking a dynamic and experienced...


  • Stamford, United States talisman advisory partners Full time

    Job Title: Associate General Legal CounselLocation: Stamford, ConnecticutCompany Overview: This is a leading renewable energy company dedicated to fostering sustainability and environmental responsibility through innovative energy solutions. With a commitment to driving positive change in the renewable energy sector, we are seeking a dynamic and experienced...


  • Stamford, United States talisman advisory partners Full time

    Job Title: Associate General Legal CounselLocation: Stamford, ConnecticutCompany Overview: This is a leading renewable energy company dedicated to fostering sustainability and environmental responsibility through innovative energy solutions. With a commitment to driving positive change in the renewable energy sector, we are seeking a dynamic and experienced...


  • Stamford, United States IT People Corporation, Inc. Full time

    Quantitative Developer who will join the Central Research Technology team, which builds strategic solutions for research and live trading of quantitative strategies across multiple frequencies and products. This is a unique opportunity to grow your career with the team while building the next generation of research and quant trading systems. Perm/Direct...


  • Stamford, United States Partnership Employment Full time

    Investment Manager looking to hire a ParalegalSupport the Legal team with a broad range of legal tasks spanning corporate, governance and fund specific initiatives/workflows.• Use previously created templates to create standard legal documentation for regulatory filings• Understand the priorities, legal and regulatory needs of SEC reporting and non-SEC...


  • Stamford, United States Partnership Employment Full time

    Investment Manager looking to hire a ParalegalSupport the Legal team with a broad range of legal tasks spanning corporate, governance and fund specific initiatives/workflows.• Use previously created templates to create standard legal documentation for regulatory filings• Understand the priorities, legal and regulatory needs of SEC reporting and non-SEC...


  • Stamford, United States Partnership Employment Full time

    Investment Manager looking to hire a ParalegalSupport the Legal team with a broad range of legal tasks spanning corporate, governance and fund specific initiatives/workflows.• Use previously created templates to create standard legal documentation for regulatory filings• Understand the priorities, legal and regulatory needs of SEC reporting and non-SEC...

  • Paralegal

    2 weeks ago


    Stamford, United States Grayscale Investments LLC Full time

    Grayscale Investments is the world's largest digital currency asset manager. Through its family of investment products, Grayscale provides access and exposure to the digital currency asset class in the form of a traditional security without the challenges of buying, storing, and safekeeping digital currencies directly. With a proven track record and...


  • Stamford, United States Oppenheimer & Co Full time

    This is an excellent opportunity for someone starting out in the investment world and wants a career, not a job! We are looking for a candidate that wants to learn and grow in this role. Primary responsibility is to initially support the team in sales, marketing and day-to-day operations of a growing branch. Key Responsibilities: * Produce quality...


  • Stamford, United States The Stamford Hospital Full time

    The Revenue Cyle Specialist is responsible for researching, resolving, and resubmitting denied claims; taking timely and routine action to collect unpaid claims; and interpreting various forms of explanations of benefits (EOBs) from insurance carriers * Understands and interprets insurance Explanations of Benefits (EOBs), knowing when and how to ensure that...


  • Stamford, United States Optimus Health Care, Inc. Full time

    Job DescriptionJob DescriptionOptimus Health Care is a Federally Qualified Health Center with sites operating in Bridgeport, Stamford and Stratford, CT. We are the largest provider of primary health care services in Fairfield County, proudly serving all patients regardless of their ability to pay. Join our team-based model of care delivered in a kind and...


  • Stamford, United States Massar Capital Management LP Full time

    Massar Capital is a macro hedge fund founded in 2015, managing over $1.4bn in assets as of May 1, 2023. Massar currently has offices in the United States and Europe. We are seeking a motivated Compliance Associate to join our team and contribute to our growth. This is an exciting opportunity to join a fast-growing hedge fund with a highly collaborative...


  • Stamford, United States The Stamford Hospital Full time

    This position is responsible for coordinating clinical research studies on human subjects. Responsible for subject recruitment, follow-up, data management, detailed record keeping and regulatory compliance, report writing, and correspondence with investigators, IRBs, and regulatory authorities. Responsible for the new submission of protocols with subsequent...