Compliance and Operational Risk Control Officer bei UBS Group AG
UBS Group AG · Nashville, Vereinigte Staaten Von Amerika · Onsite
- Senior
- Optionales Büro in Nashville
Your role
We are looking for an Asset Management compliance and operational risk control officer to:
• Support UBS Asset Management's separately managed accounts, registered funds and alternatives business areas in the Americas.
• Assist with the periodic review and update of compliance policies, procedures and processes of our funds and investment advisers.
• Conduct periodic, rules-based compliance monitoring, testing and reporting.
• Perform ongoing regulatory change analyses and tracking.
• Assist with the preparation and submission of various SEC and CFTC / NFA regulatory filings.
• Perform ongoing Code of Ethics reviews and approvals; provide Code of Ethics support.
• Contribute to analyses and enhancements of the operational risk taxonomy and control framework.
• Engage with central compliance teams and asset management global counterparties.
• Act as a compliance resource for the business.
• Support other periodic and ad-hoc compliance initiatives.
Detailed salary information:
• New York, Chicago: the salary range for this role is $176000 to $229000
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.
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We’re committed to disability inclusion and if you need reasonable accommodation/adjustments throughout our recruitment process, you can always contact us.
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Your team
Your expertise
• A collegial team player. Relationship building skills are essential.
• Bachelor's degree. Advanced degrees, industry designations and/or FINRA licenses a plus.
• Strong working knowledge of the asset management regulatory and/or risk environment; bank-affiliated asset management experience a plus.
• Excellent organizational, analytical and communications skills.
• Ability to crisply discuss aspects of operational arrangements within an asset management or related business and challenge the business with an independent control mindset.
• Capacity to work with independence and exercise decision-making authority in matters relating to assigned compliance functions, balanced with strong collaboration skills.
About us
We have a presence in all major financial centers in more than 50 countries.