Are you risk averse but risk aware? Do you know how to maintain independence and objectivity? Do you know how to evaluate risks in a challenging and fast paced environment? We are looking for someone for the following:
• The compliance officer will oversee a team responsible for coverage of the Equities & Equity Derivatives Sales and Trading desks. These desks include: Equity Derivatives Sales & Trading, Equity Sales Trading, Equity Trading, Central Risk Book, Exchange Traded Funds and Program Sales Trading & the UBS ATS.
• The compliance officer will also be responsible for liaising with senior management in Equities and Equity Derivatives as well as functional leaders in compliance, operational risk, legal, risk, and IT to provide effective challenge, guidance and advice
• The individual will be expected to participate in the Equities & Equity Derivatives Best Execution Forums, Electronic Trading Governance Forums as well as various other global and regional, regional and cross-product committees
• Provide subject-matter expertise on laws, rules, and regulations pertaining to Equity and Equity Derivatives Sales and Trading
• Draft and publish policies and procedures that pertain to the Equity Sales and Trading businesses
• Participate and provide support in regulatory exams and inquiries
• Complete Compliance Risk Assessments and Monitoring Routines and C&ORC thematics
• Develop and deliver compliance trainings

Detailed salary information:
• New York: the salary range for this role is $207500 to $282500
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.