• prepare detailed work papers to support the results of the review
• assist management with the reporting of results, trends, issues and themes to Swap Dealer governance and risk committees
• participate in the development and enhancement of testing methodologies and standards
• participate in the execution of the annual Compliance Risk Assessment
• provide advisory to stakeholders on queries regarding rule interpretation, product or client eligibility.
• perform second line of defense monitoring of certain processes that impact compliance with the rules
• participate in the governance of deemed associated persons for Swaps

Swap Dealer Regulatory Governance is also responsible for the development, maintenance and execution of our Swap Dealer testing program across all divisions. These testing results are used to support the annual Swap Dealer Chief Compliance Officer certification stating that the Swap Dealer has policies and procedures that are reasonably designed to comply with the Commodity Futures Trading Commission's Swap Dealer regulations.

Join us

At UBS, we embrace flexible ways of working when the role permits. We offer different working arrangements like part-time, job-sharing and hybrid (office and home) working. Our purpose-led culture and global infrastructure help us connect, collaborate, and work together in agile ways to meet all our business needs.

From gaining new experiences in different roles to acquiring fresh knowledge and skills, we know that great work is never done alone. We know that it's our people, with their unique backgrounds, skills, experience levels and interests, who drive our ongoing success. Together we're more than ourselves. Ready to be part of #teamUBS and make an impact?

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 Swap Dealer Regulatory Governance team, within Investment Bank Compliance & Operational Risk Controls (IB C&ORC). This US-based team is responsible for conducting thematic reviews against the global UBS Swap Dealer compliance framework to ensure that adequate controls are established and that regulatory risks are effectively managed

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.

Your expertise

• university degree in finance, economics, business administration or numerical discipline
• J.D., M.B.A. or other relevant advanced degree a plus
• several years of experience in the financial services industry
• must be able to take strong initiative and proactively drive tasks / stakeholder engagements
• must be collaborative and team-orientated while able to complete tasks independently
• must be detail-oriented and quality-conscious
• in-house audit at a financial institution or examination experience at a financial industry regulator a plus
• knowledge of swaps products and markets is a plus
• knowledge of U.S. SEC or CFTC laws & regulations is a plus
UBS-MOGUL
LI-UBS
*UBS-ACCA

About us

UBS is the world's largest and only truly global wealth manager. We operate through four business divisions: Global Wealth Management, Personal & Corporate Banking, Asset Management and the Investment Bank. Our global reach and the breadth of our expertise set us apart from our competitors.

With more than 70,000 employees, we have a presence in all major financial centers in more than 50 countries. Do you want to be one of us?