Address
Salary United Kingdom
Compliance
Group Functions
Job Reference #
289940BR
City
London
Job Type
Full Time
Your role
Are you an expert in CFTC Swap Dealer and SEC Security-Based Swap Dealer rules? Are you interested in being part of a global team that oversees regulatory requirements and control frameworks? Do you have experience providing advisory guidance for complex regulations, conducting risk assessments, testing and regulatory implementation?
We're looking for someone like that to:
We're looking for someone like that to:
- provide advisory guidance and support to CSI and firm-wide stakeholders on queries regarding rule interpretation, product classification, and client eligibility, etc.
- provide the business with controls, tools, training, frameworks, information and insights required to manage risk
- ensure risk frameworks are well-designed and operating effectively
- plan, coordinate and execute annual testing for the CFTC Swap Dealer, Security-Based Swap Dealer, Volcker compliance
- draft and issue impactful reports setting out findings, conclusions, ratings and remedial actions
- manage the reporting of regulatory trends, non-financial risk issues, and testing results, to Swap Dealer and Volcker governance forums
- assist with implementing the execution of the annual rules-based Compliance Risk Assessments
- assist with second line of defense monitoring of processes that impact compliance of CSI with Swap Dealer, Volcker and Banking regulations
- draft IB C&ORC responses for Swap Dealer and Volcker regulatory examinations and internal audits for CSI, including driving associated remediation with relevant stakeholders
- participate in relevant Swap Dealer and Volcker governance forums
- draft the CFTC Swap Dealer, Security-Based Swap Dealer, and Volcker Annual Compliance reports for CSI
Your team
You’ll be part of a team of 20 professionals within the Swap Dealer, Volcker, and IB Bank Branch teams within IB C&ORC. You will also report through to the CSI CCO.
Your expertise
- experience in Swap Dealer, Security-Based Swap Dealer, and Volcker Compliance
- ideally 10+ years of experience in the financial services industry
- university degree in finance, economics, business administration or numerical discipline
- MBA or other relevant advanced degree a plus
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.
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?
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
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.
