Head of Americas Control Room, Compliance & Operational Risk Control (Middletown)

Compensation

: $165,260.00 - $165,260.00 /year *

Employment Type

: Full-Time

Industry

: Legal



Loading some great jobs for you...





Your Role

Are you risk averse but risk aware? Do you know how to maintain independence and objectivity? Do know how to evaluate risks in a challenging and fast paced environment? We are looking for someone like that who can:
  • lead the New York and Nashville Control Room teams (role is based in New York) and work closely with regional Control Rooms
  • maintain our information barriers and global restrictions
  • review research and oversee the bank's compliance with the Global Research Settlement, including coordinating and monitoring communications between research analysts and bankers
  • assist in conflict management
  • liaise with other compliance and control teams to provide compliance advice to investment banking, capital markets and research and respond to relevant regulatory requests
  • ensure appropriate documentation and training of Control Room activities as well as globally consistent standards, where appropriate - act as a compliance subject-matter expert for the
Global Banking team of the Investment Bank (IB)
  • understand the business, key risks, regulations and technology impacting the business
  • establish, maintain and review policies, procedures and controls reasonably designed to comply with laws, rules, regulations, and industry standards
  • engage the business daily in communications to challenge, educate and guide on compliance, conduct and operational risks, including supporting the business in maintaining high standards of culture and behavior
  • work closely with colleagues in Legal, Global Internal Audit and C&ORC, including on regulatory changes, risk assessments, monitoring and surveillance, testing, training and regulatory engagement
  • ensure compliance risk frameworks are designed well and operating effectively

    Join us

    We're a truly global, collaborative and friendly group of people. Having a diverse, inclusive and respectful workplace is important to us. And we support your career development, internal mobility and work-life balance. If this sounds interesting, apply now.

    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 be working in the IB Americas C&ORC team in New York, which is a part of the Group Compliance, Regulatory and Governance function, partnering daily with staff in Global Banking. Global Banking includes all advisory, capital markets, financing solution and execution for corporate, financial institutions and sponsor clients. We are an independent risk management function, who identify and assess compliance and operational risk in an environment of integrity, collaboration and effective independent challenge.

    Your expertise

    You have:
  • a BS/BA degree (MBA or JD a plus)
  • minimum of 5 years' experience in a senior Control Room role
  • existing knowledge of the broad range of investment banking business activities and key compliance and operational risks
You are:
  • a strong team player who can collaborate and communicate effectively with key stakeholders to drive change
  • able to provide clear, timely and appropriate guidance and independent challenge and know when to escalate
  • able to make decisions, resolve conflicts and exercise sound judgment under pressure
  • able to operate at both a detailed and strategic level, possessing attention to detail and organization skills, as well as excellent presentation and communication skills

Head of Americas Control Room, Compliance & Operational Risk Control Jobs in New York, NY

Add your resume and apply to jobs with your Glassdoor profile. Create Profile

  • Job
Your Role

Are you risk averse but risk aware? Do you know how to maintain independence and objectivity? Do know how to evaluate risks in a challenging and fast paced environment? We are looking for someone like that who can:
  • lead the New York and Nashville Control Room teams (role is based in New York) and work closely with regional Control Rooms
  • maintain our information barriers and global restrictions
  • review research and oversee the bank's compliance with the Global Research Settlement, including coordinating and monitoring communications between research analysts and bankers
  • assist in conflict management
  • liaise with other compliance and control teams to provide compliance advice to investment banking, capital markets and research and respond to relevant regulatory requests
  • ensure appropriate documentation and training of Control Room activities as well as globally consistent standards, where appropriate - act as a compliance subject-matter expert for the
Global Banking team of the Investment Bank (IB)
  • understand the business, key risks, regulations and technology impacting the business
  • establish, maintain and review policies, procedures and controls reasonably designed to comply with laws, rules, regulations, and industry standards
  • engage the business daily in communications to challenge, educate and guide on compliance, conduct and operational risks, including supporting the business in maintaining high standards of culture and behavior
  • work closely with colleagues in Legal, Global Internal Audit and C&ORC, including on regulatory changes, risk assessments, monitoring and surveillance, testing, training and regulatory engagement
  • ensure compliance risk frameworks are designed well and operating effectively

    Join us

    We're a truly global, collaborative and friendly group of people. Having a diverse, inclusive and respectful workplace is important to us. And we support your career development, internal mobility and work-life balance. If this sounds interesting, apply now.

    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 be working in the IB Americas C&ORC team in New York, which is a part of the Group Compliance, Regulatory and Governance function, partnering daily with staff in Global Banking. Global Banking includes all advisory, capital markets, financing solution and execution for corporate, financial institutions and sponsor clients. We are an independent risk management function, who identify and assess compliance and operational risk in an environment of integrity, collaboration and effective independent challenge.

    Your expertise

    You have:
  • a BS/BA degree (MBA or JD a plus)
  • minimum of 5 years' experience in a senior Control Room role
  • existing knowledge of the broad range of investment banking business activities and key compliance and operational risks
You are:
  • a strong team player who can collaborate and communicate effectively with key stakeholders to drive change
  • able to provide clear, timely and appropriate guidance and independent challenge and know when to escalate
  • able to make decisions, resolve conflicts and exercise sound judgment under pressure
  • able to operate at both a detailed and strategic level, possessing attention to detail and organization skills, as well as excellent presentation and communication skills
Get alerts to jobs like this, to your inbox.

Head of Americas Control Room, Compliance & Operational Risk Control


Associated topics: business, compliance, compliance department, compliance office, corporate attorney, counsel, court, courtroom, lawyer, market * The salary listed in the header is an estimate based on salary data for similar jobs in the same area. Salary or compensation data found in the job description is accurate.

Launch your career - Create your profile now!

Create your Profile

Loading some great jobs for you...