Swap Dealer Regulatory Governance Officer

City

Nashville, New York, Raleigh, Stamford, Washington, Weehawken

Job Type

Full Time

Country / State

United States - Connecticut, United States - District of Columbia, United States - New Jersey, United States - New York, United States - North Carolina, United States - Tennessee, United States - Virginia

Function Category

Compliance

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?

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.

Your team

The UBS Swap Dealer Regulatory Governance Team is also responsible for the development, maintenance, and execution of our Swap Dealer testing program across all divisions. The results of this testing are used to support the Swap Dealer / SBSD Chief Compliance Officer required annual certifications to the U.S. Commodity Futures Trading Commission and U.S. Securities and Exchange Commission.

Your expertise

• university degree in finance, economics, business administration, or numerical discipline, JD, M.B.A. or other relevant advanced degree a plus
• 5+ years of experience in the financial services industry, in-house audit at a financial institution, or examination experience at a financial industry regulator a plus
• knowledge of swaps and security-based swaps products and markets
• knowledge of U.S. CFTC Swap Dealer and/or U.S. SEC SBSD laws, rules, and regulations
• detail-oriented, accurate, and able to drive tasks to closure
• ability to work well in a team-oriented, fast-paced environment


#LI-Hybrid

About us

UBS is the world’s largest and 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.

With more than 70,000 employees, we have a presence in all major financial centers in more than 50 countries. Do you want to be one of us?

Your Career Comeback

We are open to applications from career returners. Find out more about our program on ubs.com/careercomeback.

Salary information

US Only: The expected salary range for this role is $98000 to $156000 based on factors including, but not limited to, experience, qualifications, education, location and skill level. Please see «Your role» section for detailed salary information.