Litigation & Regulatory Lawyer

Job Reference #

324274

City

New York, Weehawken

Job Type

Full Time

Would you like to work in a fast-paced environment that presents opportunities to take on significant responsibility? We’re looking for a Regulatory Affairs Counsel or Analyst to:

• Serve as the face of UBS's retail broker-dealer to its securities regulators in presenting our commitment to regulatory compliance and our strong culture of integrity and transparency
• Coordinate and oversee regulatory examinations, inquiries, enforcement investigations and ad hoc requests from securities regulators, partnering with various internal departments to gather required data, draft responses, negotiate resolutions and drive regulator-initiated remediation
• Manage and oversee regulatory matters (inquiries, exams, investigations, enforcement matters and ad hoc requests) which will include regular interaction with regulatory personnel at SEC, FINRA, NFA, states, and exchanges, and with UBS senior management and other groups throughout our firm
• Build and maintain exemplary relationships with our Firm's regulators
• Identify, organize and coordinate document productions including assessing responsiveness and ensuring information is presented in an accurate, complete and timely manner
• Negotiate formal disciplinary actions as needed
• Represent firm personnel in "on-the-record" interviews conducted by regulators
• Work closely with business and compliance personnel to formulate remedial actions and track/drive their implementation
• Create and distribute internal reports relating to pending regulatory matters

Weehawken, New York: the salary range for this role is $178000 to $233000. The expected salary range(s) for this role as of the date of this posting is/are based on factors including, but not limited to, experience, qualifications, education, location and skill level. This role may also be eligible for discretionary incentive compensation. For benefits information, please visit

You will be an integral part of the Securities Regulatory Affairs team aligned with the UBS retail broker-dealer in the U.S. This dynamic team of attorneys and analysts handles all aspects of SEC, FINRA and other securities regulatory matters relating to our wealth management business, and partners with senior business managers to complete and accurate responses and ensure execution of regulatory-driven remediation.

• Ideally 5+ years of experience in a broker-dealer, regulatory entity, or law firm practicing in retail broker-dealer regulatory matters, preferably in connection with regulatory examinations and/or regulatory inquiries
• Significant experience with and understanding of FINRA, SEC, futures (CFTC, NFA) rules and regulations, particularly those pertaining to client suitability, trading activities of equities, fixed income products, and options, as well as attendant regulatory reporting requirements
• Strong organizational and project management skills, strong written and verbal communication skills, and the ability to multi-task
• Ability to identify and escal… (remaining text)
• Ability to work in a high pressure environment, manage multiple matters with competing and important interests and adhere to strict deadlines
• Proficient in Microsoft Word, Excel and Power Point
• Preferably possess a JD from an accredited law school and license to practice law in New York or New Jersey, or ability to obtain appropriate licensure as in-house counsel. Alternatively, have experience interacting directly with securities regulators and providing written responses to regulatory requests

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.

Because together, we’re more than ourselves. Want to find out more? Visit

US Only:
The expected salary range for this role is $178000 to $233000…