Clearing and Prime Brokerage Advisory Compliance Officer

Welcome to UBS, a leading global financial services firm with a strong commitment to integrity and compliance. We are currently seeking a highly skilled and motivated individual to join our team as a Clearing and Prime Brokerage Advisory Compliance Officer. In this role, you will play a critical role in ensuring our firm's compliance with regulations and industry standards related to clearing and prime brokerage services. We are looking for someone with a deep understanding of the financial markets and a passion for upholding ethical standards. If you are a detail-oriented and proactive individual with a strong background in compliance and a desire to make a positive impact, we encourage you to apply for this exciting opportunity.

1. Develop and implement compliance policies and procedures related to clearing and prime brokerage services in accordance with regulatory requirements and industry best practices.
2. Conduct regular reviews and risk assessments to identify potential compliance issues and develop strategies to mitigate them.
3. Stay up-to-date on relevant regulations and industry developments and communicate changes to relevant stakeholders within the company.
4. Provide guidance and training to employees on compliance requirements and promote a culture of integrity and ethical behavior within the organization.
5. Conduct audits and monitor internal controls to ensure compliance with regulatory requirements and company policies.
6. Investigate and report any potential compliance violations or breaches and work with relevant departments to address and resolve issues.
7. Collaborate with other compliance officers and departments to ensure a coordinated and consistent approach to compliance across the organization.
8. Develop and maintain relationships with regulatory agencies and industry organizations to stay informed on the latest developments and best practices.
9. Serve as a subject matter expert on compliance matters related to clearing and prime brokerage services and provide guidance to other departments as needed.
10. Proactively identify areas for improvement and make recommendations to senior management to enhance compliance processes and procedures.

According to JobzMall, the average salary range for a Clearing and Prime Brokerage Advisory Compliance Officer in New York, NY, USA is $110,000 to $160,000 per year. This can vary depending on factors such as experience, education, and the specific company or organization the individual is working for. Additionally, bonuses and other benefits may also be included in the overall compensation package.

UBS is a global firm providing financial services in over 50 countries. The company provides wealth management, asset management, and investment banking services for private, corporate, and institutional clients worldwide.