Do you know the Investment Advisers Act, the Investment Company Act, the Commodity Exchange Act and/or the Securities Exchange Act? Are you an expert when it comes to performing second-line-of-defense activities? Do you ‘think on your feet’, balancing commercial objectives with legal, regulatory and ethical considerations? Do you advocate for the importance of operational risks?

We’re looking for an outstanding Compliance Officer to support UBS Asset Management’s Credit Investments Group (CIG), one of the five lines of business of UBS Asset Management. CIG manages over $50 billion in assets under management globally and invests in non-investment grade credit strategies, including bank loans, high yield bonds, private credit, rated and equity tranches of collateral loan obligations (CLOs). CIG deploys it strategies across various vehicles including CLOs, separately managed accounts, private funds, mutual funds, and other commingled vehicles.

We’re looking for an Asset Management compliance and operational risk control (C&ORC) officer to:

• act as a C&ORC subject-matter expert for the CIG business, providing independent advice, challenge and control to the business’ compliance risk-taking
• assisting in the administration, maintenance and improvement of the compliance policies, procedures and processes of CIG, and connecting them to those of UBS Asset Management and the wider UBS Americas organization
• assessing the impact of regulatory developments, supporting regulatory change management efforts, and providing regulatory updates to the business
• evaluating trading, information barrier and specialist network requests
• influencing investment team members within CIG on key compliance risks and their mitigation
• advising CIG on, and evaluating, projects, new initiatives, business objectives, policies, procedures, processes, risk events, controls, and/or compliance testing and monitoring
• leading and assisting with the development, maintenance, and delivery of compliance training
• periodic reporting and regulatory filings (including Form ADV)
• performing the annual 206(4)-7 annual compliance review
• contributing to the development, deployment, and enforcement of UBS AM’s Code of Ethics

Detailed salary information:
• Raleigh, Nashville: the salary range for this role is $120000 to $160000
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.