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About the Role
As a Global Banking compliance specialist, you’ll deliver day-to-day advice on policies and regulations across the business, providing guidance and independent oversight over non-financial risks. This role ensures compliance, conduct, and operational risks are understood, owned, and managed within the firm's risk appetite.
Responsibilities
- Lead coverage and oversight for the Equity Capital Markets business, including private capital markets and convertibles origination.
- Coordinate within the team to support Global Banking Americas, providing consistency and backup across debt and leveraged finance capital markets and other areas.
- Support business growth and change initiatives across capital markets, including post-settlement advisory, special equity solutions, and collaboration with Global Wealth Management.
- Partner with senior management across Global Banking and stakeholders in Compliance, Legal, Risk, and Conflicts to provide guidance and effective challenge.
- Support expansion of the early-stage company network to drive growth in equity capital markets.
- Represent Compliance in global, regional, and cross product committees, contributing thought leadership.
- Act as a subject matter expert on laws, rules, and regulations, working with global peers across research, markets, and control room functions to ensure consistency.
- Support adherence to SEC and FINRA requirements, including Regulation M, IPO rules (5130/5131), Rule 5190, TRACE reporting, and information barrier and conflicts management.
- Participate in approval committees for higher risk clients or ECM transactions.
- Draft and maintain policies, procedures, and training materials.
- Guide and support junior team members.
- Advise supervisors on first line responsibilities.
- Support regulatory exams and inquiries.
- Complete compliance risk assessments and evaluate control effectiveness.
- Perform thematic reviews to identify emerging risks.
Requirements
- Ideally 15+ years of experience in compliance, legal, or risk control, including direct capital markets coverage.
- Ability to lead senior coverage for a high profile, growing investment banking business.
- Experience partnering across business lines on strategic, compliance related initiatives.
- Proven ability to drive sustainable change and strengthen the control environment.
- Strong relationship management skills with the ability to connect across teams and functions.
- Ability to manage multiple priorities under tight deadlines.
- Strong analytical and problem solving skills with sound judgment.
- Clear and effective written and verbal communication skills.
- Curious to explore how AI can improve how we build, deliver, and optimize workflows, validating outputs and aligning with policies, risk standards, and ethical use.
Skills
- Compliance
- Legal
- Risk Control
- Capital Markets Coverage
- Relationship Management
- Analytical Skills
- Problem Solving
- Written Communication
- Verbal Communication
- AI Workflow Optimization
Location
- New York, New York
Work Type
- Full-time
Experience Level
- 15+ years
Salary/Compensations
- USD 200000 - 275000 /annum
Benefits
- Competitive benefits package
- Additional variable compensation or awards may be provided
About the Company
- 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.
- We use artificial intelligence (AI) to work smarter and more efficiently.
- Our inclusive culture brings out the best in our employees, wherever they are on their career journey.
Equal Opportunity
- 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.
- We’re committed to disability inclusion and if you need reasonable accommodation/adjustments throughout our recruitment process, you can always contact us.