Electronic Trading Compliance & Operational Risk Officer

  • Competitive
  • New York, NY, USA
  • Permanent, Full time
  • UBS
  • 11 Dec 18

Electronic Trading Compliance & Operational Risk Officer



Your role
Are you an experienced compliance professional? We're looking for someone like this to:

– liaise with senior management in Equities and Fixed Income (FRC) divisions and functional leaders in compliance, legal, risk, and IT to provide effective challenge, guidance and advice
– participate in various global, regional and cross-product Electronic Trading Governance Committees as a representative of the C&ORC organization
– provide subject-matter expertise on rules and regulations pertaining to electronic trading
– work with Sales, Trading, Quantitative Analysts, and Technology teams to review risks associated with algorithmic trading, providing guidance on pre-trade controls, and algorithm testing and implementation
– support the electronic trading governance framework across the Equities and FRC divisions
– perform critical assessment and challenge during the development and implementation of electronic trading systems and algorithmic platforms
– work closely with colleagues in C&ORC to promote best practice and consistency across divisions and asset classes
– support in the design and implementation of the Operational Risk Framework
– draft and review compliance policies and procedures related to electronic trading
– develop and deliver compliance training

Your team
Compliance and Operational Risk Control (C&ORC) is an independent function providing oversight of the Compliance, Conduct and Operational Risks within the firm. The UBS C&ORC Compliance team is seeking a talented individual to lead and provide compliance support to the Electronic Trading groups across the Equities and Fixed Income divisions (ICS) of the Investment Bank.

What we offer
Together. That's how we do things. We offer people around the world a supportive, challenging and diverse working environment. We value your passion and commitment, and reward your performance.

Keen to achieve the work-life agility that you desire? We're open to discussing how this could work for you (and us).

Take the next step
Are you truly collaborative? Succeeding at UBS means respecting, understanding and trusting colleagues and clients. Challenging others and being challenged in return. Being passionate about what you do. Driving yourself forward, always wanting to do things the right way. Does that sound like you? Then you have the right stuff to join us. Apply now.

About us
Expert advice. Wealth management. Investment banking. Asset management. Retail banking in Switzerland. And all the support functions. That's what we do. And we do it for private and institutional clients as well as corporations around the world.

We are about 60,000 employees in all major financial centers, in more than 50 countries. Do you want to be one of us?