United States - Connecticut, United States - New Jersey, United States - New York

Business management, administration and support

Group Functions

Your role

Would you like to work in a fast-paced environment that presents opportunities to take on significant responsibility?

We’re looking for a Regulatory Affairs Counsel to:
• Serve as the face of UBS's Investment Bank to its regulators in presenting our commitment to regulatory compliance and our strong culture of integrity and transparency
• Coordinate and oversee regulatory examinations, inquiries, enforcement investigations and ad hoc requests from securities, swaps and futures regulators, partnering with various internal departments to gather required data, draft responses, negotiate resolutions and drive regulator-initiated remediation
• Manage and oversee regulatory matters (inquiries, exams, investigations, enforcement matters and ad hoc requests) which will include regular interaction with regulatory personnel at NFA, CME, CFTC, SEC and FINRA and with UBS senior management and other groups throughout our firm
• Build and maintain exemplary relationships with our
Firm's regulators
• Identify, organize and coordinate document productions including assessing responsiveness and ensuring information is presented in an accurate, complete and timely manner
• Negotiate formal disciplinary actions, as needed
• Represent firm personnel in "on-the-record" interviews conducted by regulators
• Work closely with business and compliance personnel to formulate remedial actions and track/drive their implementation
• Create and distribute internal reports relating to pending regulatory matters

Detailed salary information:
• Raleigh, Nashville: the salary range for this role is $135000 to $183000
• Weehawken, Stamford, New York: the salary range for this role is $150000 to $205000
The expected salary range(s) for this role as of the date of this posting is/are based on factors including, but not limited to, experience, qualifications, education, location and skill level. This role may also be eligible for discretionary incentive compensation. For benefits information, please visit ubs.com/usbenefits.

Job Reference #

325928BR

City

New York, Stamford, Weehawken

Job Type

Full Time

Your team

You will be an integral part of the Securities Regulatory Affairs team aligned with the UBS Investment Bank in the U.S. This dynamic team of attorneys and analysts handles all aspects of SEC, CFTC, NFA, FINRA and other regulatory matters relating to our IB business, and partners with senior business managers to complete and accurate responses and ensure execution of regulatory-driven remediation.

Your expertise

• Ideally 5+ years of experience in another broker-dealer, regulatory entity, or law firm practicing in investment banking regulatory matters
• Significant experience with and understanding of equities, fixed income, swaps and futures rules and regulations, particularly those pertaining to trading activities and attendant regulatory reporting requirements
• Strong organizational and project management skills, strong written and verbal communication skills, and the ability to multi-task
• Ability to identify and escalate issues of potential regulatory risk in a timely and succinct manner
• Ability to work in a high pressure environment, manage multiple matters with competing and important interests and adhere to strict deadlines
• Proficient in Microsoft Word, Excel and PowerPoint
• Possess a JD from an accredited law school and license to practice law in New York, or ability to obtain appropriate licensure as in-house counsel

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.

Salary information

US Only: The expected salary range for this role is $135000 to $205000 based on factors including, but not limited to, experience, qualifications, education, location and skill level. Please see «Your role» section for detailed salary information.

Join us

At UBS, we know that it's our people, with their diverse skills, experiences and backgrounds, who drive our ongoing success. We’re dedicated to our craft and passionate about putting our people first, with new challenges, a supportive team, opportunities to grow and flexible working options when possible. Our inclusive culture brings out the best in our employees, wherever they are on their career journey. We also recognize that great work is never done alone. That’s why collaboration is at the heart of everything we do. Because together, we’re more than ourselves.

We’re committed to disability inclusion and if you need reasonable accommodation/adjustments throughout our recruitment process, you can always contact us.

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.