Head of Equities Compliance (Wantagh)

  • Wantagh, NY

Compensation

: $163,905.00 - $163,905.00 /year *

Employment Type

: Full-Time

Industry

: Financial Services - Banking/Investment/Finance



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Add your resume and apply to jobs with your Glassdoor profile. Create Profile. Job. 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 a team of compliance subject-matter experts for the Equities Division 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-actively participate in governance forums, committees, or new business initiatives -engage the business daily in communications and trainings 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. 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, working closely with staff in Equities Division. We are an independent risk management function, who identify and assess compliance 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 12 years of relevant experience in compliance, legal, risk control or audit -existing knowledge of the broad range of equity products, including shares, ETFs, convertible bonds, options, structured investment products, swaps and futures -management and team leadership experience. 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
Associated topics: bond, broker dealer, buy, financial, invest, investor, purchase, securities broker, sell, trader

* 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.

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