Ib Compliance Programs, Fcm Regulatory Governance

2 weeks ago

Chicago, United States UBS Full time

United States
- Compliance
- Group Functions

**Job Reference #**
- 294178BR

**City**
- Chicago

**Job Type**
- Full Time

**Your role**
- Are you independent, analytical and have strong organizational skills? Do you know how to identify, analyze, and assess regulatory risks? Are you an expert in regulatory governance and able to interpret rules
- We are looking for someone who can:
- perform governance related activities for CFTC regulated FCM
- assist in the planning, coordination and delivery of our team's annual review plan
- identify and evaluate the effectiveness of existing controls
- prepare detailed work papers to support the results of the review program
- investigate potential regulatory violations and control deficiencies.
- collaborate extensively with the relevant business management teams, various control & logistics functions and Legal to ensure compliance with regulatory requirements and firm policies and procedures.
- coordinate and actively participate in internal and external governance and advocacy forums
- articulate an independent and balanced opinion in written and oral form

**Your team**
- You’ll be working on the IB C&ORC Programs team, a unit within Compliance and Operational Risk Control (C&ORC). We are focused on the investment bank division and conduct reviews of UBS's various businesses in order to proactively identify compliance issues (e.g. CFTC regulations, prudential regulations) and ensure adequate controls are in place to mitigate associated risks. We are primarily responsible for conducting advisory, governance and testing related activities in support of CCO annual certification requirements for the CFTC FCM.
- 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**
- BA or international equivalent
- 3-5+ years experience with major investment or commercial bank or with a futures exchange or consulting firm providing advice to major investment or commercial banks
- familiarity with CFTC regulations related to FCM
- Strong understanding of derivative products and related processes
- excellent research and analytical skills
- highly organized and capable of dealing with multiple projects simultaneously
- strong written and verbal communication skills
- excellent teamwork, interpersonal and conflict resolution skills

**About us**
- UBS is the world’s largest and the 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..
- We have a presence in all major financial centers in more than 50 countries.

**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?

**Contact Details**
- UBS Business Solutions SA
- UBS Recruiting

**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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