Fixed Income Compliance Officer (92293BR) Stamford, Connecticut
|Salary:||commensurate with experience|
Job Summary & Mission:
UBS is a client-driven global financial services firm. Corporate Center partners with the business divisions to ensure that the firm operates as an effective and integrated whole with a common vision and set of values.
FICC (Fixed Income, Currencies & Commodities) Compliance within the UBS IB Americas Compliance Department is responsible for executing the mission of the UBS IB Compliance Department to the FICC Division throughout Region Americas. The mission includes:
• Advice on transactions, compliance policies and procedures, and regulatory developments;
• Education on new laws and policies, business compliance needs and best practices; and
• Monitoring of the business, including transaction reviews, compliance risk reviews, market surveillance reviews, supervisory oversight reviews and review of new business and transactions requiring pre-approval.
The firm is recruiting for the position of Fixed Income Compliance Officer for the Americas Region. The individual will be primarily responsible for providing compliance support to credit trading, sales, and origination businesses.
The successful candidate will be expected to demonstrate product knowledge within the Americas Compliance function and within the UBS IB Compliance function, working effectively and closely with Legal and Compliance colleagues in the Americas and in other regions performing comparable roles.
The candidate must be a team player and possess the skills necessary to build and maintain strong client relationships with front office staff, to work proactively with business management and members of the team, to maintain, enhance and develop relevant compliance related procedures, to identify and deliver relevant training in support of each covered business unit and be able to independently manage and complete complex projects. Other responsibilities will include developing risk based exception reports and conducting product specific surveillance, keeping abreast of relevant regulatory developments, assessing the impact of proposed, new or amended rules and regulations and summarizing and communicating such to business and compliance management. The individual will also be expected to be an active participant in relevant industry association committees and initiatives (e.g., SIFMA).