Tag: Compliance

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 Title Senior Equities Compliance Officer
Job Reference # 87127BR
Location United States – New York
City New York
Function Category Legal and Compliance
Business Divisions Corporate Center
Job Type Full Time
Description This senior compliance officer will provide advice to traders, sales persons and technology personnel regarding regulatory requirements for the trading and sales of equities and equity derivatives. In this role, the compliance officer will work with Equities business personnel to establish priorities for compliance-related projects.

The candidate must have expertise in U.S. trading regulations and market structure issues, including: Reg SHO, Reg ATS, Reg NMS, Reg M, Distributive Linkage, Market Access Rule, circuit breakers, best execution, trade reporting, OATS, Rule 15a-6, Large Trader Reporting Rule, Limit up/Limit Down Rule, Institutional Suitability Rule, information barriers, etc.

Requirements and responsibilities of the position include:

. Interpret regulatory requirements for the businesses of the Equities Division, including sales, soft dollars, equities and options market making, program trading, electronic trading (including ATS), over-the-counter derivatives trading (including swaps) and syndicate

. Participate as the UBS member of SIFMA groups to discuss proposed rules and regulations from the SEC, the exchanges and FINRA

. Respond to internal audit requests and requests of other control areas and participate as a representative of Equities Compliance in internal committees

. Draft and review compliance policies and procedures, written supervisory procedures and Compliance Bulletins

. Prepare and deliver compliance training for Equities and IT personnel

. Assist in the preparation of responses to regulatory inquiries and examinations

. Manage assignments of compliance workload and mentor more junior staff
Requirements Education:

Candidates must have an undergraduate degree. A law degree is preferred but not required.

Prior Experience:

Candidates should have a minimum of 7 to 10 years experience working in a broker dealer equities trading environment in a legal or compliance capacity and experience as a manager of compliance officers or lawyers is also required

Our Offering UBS can offer you an environment geared towards performance, attractive career opportunities, and an open corporate culture that values and rewards the contribution of every individual.
Take the next step Want to further your career in an organization where your contribution can make a difference? Apply now at www.ubs.com/careers. We look forward to hearing from you.
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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