Global Banking Equity Capital Markets Compliance Coverage

Your role

Are you risk-aware with strong independence and judgment? Can you assess risks in a fast-paced environment and provide clear guidance? As a Global Banking compliance specialist, you’ll deliver day-to-day advice on policies and regulations across the business, including:

• lead coverage and oversight for the Equity Capital Markets business within Global Banking, 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

Full Time

New York

You will be working with the Americas Global Banking Compliance Team. This position will be based in New York. Our team provides guidance, independent oversight, and challenge over the non-financial risks arising from UBS’s business activities to ensure compliance, conduct and operational risks are understood, owned, and managed to the Firm's risk appetite. Other responsibilities include the establishment of independent frameworks for risk assessment, measurement, aggregation, and reporting non-compliance with applicable laws and regulations.

This team aids in the design and implementation of policies, procedures, controls, and compliance training while working closely with other teams such as independent testing teams, surveillance teams and Operational Risk and Control and regulatory teams.

• you’re curious to explore how AI can improve how we build, deliver, and optimize workflows. You do this with sound judgment – validating outputs and aligning with policies, risk standards, and ethical use.
• 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

• United States
  - New York
  - New York min USD 190000 - max USD 290000 /annum

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.