United States - New York

Compliance

Group Functions

Key responsibilities

UBS Business Solutions US LLC is seeking a Director, Global Markets Execution Service Cash Equities in New York, NY.

Are you an innovative thinker? Are you focused on the details, even when under pressure? Do you enjoy delivering enhanced change capabilities across a range of business functions?

We’re looking for a Director, Global Markets Execution Service Cash Equities to:

• Perform advisory compliance services related to institutional sales and trading in equities and equity derivatives. Liaise with business stakeholders in the front office, functional leaders in compliance, legal, risk, IT, and other functional stakeholders to provide effective challenge and guidance from a second line defense perspective.
• Provide subject-matter expertise on rules and regulations pertaining to equities sales and trading, including but not limited to Best Execution, Reg NMS, Reg SHO, Reg BI, Reg ATS, Reg SCI, SEC Rule 15c3-5, SEC Rule 605/606, Rule 144, Reg M, transaction reporting rules (including but not limited to equities trade reporting and the Consolidated Audit Trail), exchange rules, and self-regulatory organization rules (e.g. FINRA).
• Participate in various business-specific, global, and regional governance committees and forums.
• Work with Sales, Trading, Quantitative Analysts, and Technology teams to review risks associated with equities trading, providing guidance on controls implementation and testing for existing and new workflows and systems. Draft and review compliance policies and procedures related to equities trading. Develop and deliver compliance training. Assess new rules and regulations to provide compliance requirements and implement associated compliance program updates.
• Can work hybrid (In-office/remote).


Qualified Applicants apply through SH-ProfRecruitingcc@ubs.com. Please reference 001680. NO CALLS PLEASE. EOE/M/F/D/V. #LI-DNI

Job Reference #

344311BR

City

New York

Job Type

Full Time

Your Career Comeback

We are open to applications from career returners. Find out more about our program on ubs.com/careercomeback.

The team

Diversity helps us grow, together. That’s why we are committed to fostering and advancing diversity, equity, and inclusion. It strengthens our business and brings value to our clients.

You’ll be working in the Global Markets Execution Service Cash Equities team in New York, NY.

Your skills and experience

Education & Experience Requirement
• This position requires a Bachelor's degree or foreign equivalent in Finance, or a related field of study plus five (5) years of experience in the job offered or as a Compliance Advisor, Analyst, Actions and Distribution Officer, or related occupation.

Position requires experience with the following:
• Advisory/business-aligned compliance, legal, risk control, or audit covering institutional equities and equity derivatives
• Providing guidance and advising cash equities and exchange-traded derivatives markets businesses, including sales, high-touch trading, electronic trading, portfolio trading, Alternative Trading Systems, and principal risk trading
• Developing and maintaining compliance policies; Regulatory development horizon scanning; Performing deep-dives and thematic review to assess areas of heightened risk
• Providing guidance on financial services regulations; Developing and delivering training modules
• Sales and trading controls; Performing critical assessments of controls as part of business-as-usual engagement
• Developing and implementing new or modified systems related to trading in equities and equity derivatives

About us

UBS is a leading and truly global wealth manager and the leading universal bank in Switzerland. We also provide diversified asset management solutions and focused investment banking capabilities. Headquartered in Zurich, Switzerland, UBS is present in more than 50 markets around the globe.
We know that great work is never done alone. That’s why we place collaboration at the heart of everything we do. Because together, we’re more than ourselves. Want to find out more? Visit ubs.com/careers.

Salary information

The indicative gross base salary range as a full-time equivalent role: United States-New York-New York min USD 184000 - max USD 225000 /annum

The expected salary for this role will be determined by relevant factors which may include but are not limited to, role-required experience, qualifications, education, location and skill level. UBS offers a range of competitive benefits and for further information, please visit ubs.com/employee-benefits. We may, at our sole discretion, provide additional variable compensation or awards.

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. And we use artificial intelligence (AI) to work smarter and more efficiently. 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.