Senior Compliance Officer - Credit

City

Nashville, Raleigh

Job Type

Full Time

Country / State

United States - North Carolina, United States - Tennessee

Function Category

Compliance

Join us

At UBS, we know that it's our people, with their diverse skills, experiences and backgrounds, who drive our ongoing success. We’re dedicated to our craft and passionate about putting our people first, with new challenges, a supportive team, opportunities to grow and flexible working options when possible. Our inclusive culture brings out the best in our employees, wherever they are on their career journey. We also recognize that great work is never done alone. That’s why collaboration is at the heart of everything we do. Because together, we’re more than ourselves.

We’re committed to disability inclusion and if you need reasonable accommodation/adjustments throughout our recruitment process, you can always contact us.

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

You’ll work in a friendly, dynamic, and integrated team of professionals, which is responsible for managing the compliance and operational risks of UBS’s Asset Management business. Our duties include implementing the Compliance and Operational Risk Framework of UBS' Asset Management Division and UBS Americas' Combined US Operations, and ensuring compliance and operational risks are identified, assessed, and managed properly.

Your expertise

• ideally 5 – 10+ years of experience in asset management compliance experience at a global financial services institution, asset manager, regulatory agency or major consulting firm covering credit funds or alternative investments.
• experience with bank loans, private credit, high-yield bonds, and CLOs is strongly desired.
• expertise in securities regulation is a must (Investment Advisers Act, the Investment Company Act, the Commodity Exchange Act and/or the Securities Exchange Act), as well as a thorough understanding of the legal and regulatory expectations / requirements related to private funds, SMA’s and registered investment companies. Bank-affiliated asset management expertise is a plus.
• knowledge of front to back asset management operating models (operational procedures, investment process, applications used, etc.) is a plus.
• bachelor’s degree in a relevant area of study. A graduate degree (e.g., MBA or JD) is a plus.
• structured, rigorous, analytical, holistic and thorough in your approach, of sound judgment and common sense, with the ability to form defensible conclusions from risk assessments and the ability to "stand your ground", where necessary.
• excellent interpersonal skills, and crucially, a collegial, friendly team player.
• ability to articulate views, assessments and approaches both verbally and in writing precisely, concisely and persuasively.
• ability to present to and respond effectively to senior internal and external stakeholders, including regulators.
• capacity to calmly manage conflicting priorities and pressure in a demanding, high-paced and high-volume environment.
• dedication to fostering an inclusive culture and value diverse perspectives.

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.

Salary information

US Only: The expected salary range for this role is $150000 to $203000 based on factors including, but not limited to, experience, qualifications, education, location and skill level. Please see «Your role» section for detailed salary information.