Business Aligned Compliance Officer Investment Bank

Are you interested in developing and driving solutions that advance UBS’s strategic objectives? Do you execute with excellence? Are you entrepreneurial, proactive, and forward looking?

Full Time

343800

Toronto

Are you interested in developing and driving solutions that advance UBS’s strategic objectives? Do you execute with excellence? Are you entrepreneurial, proactive, and forward looking?

As a Business Aligned Compliance officer, you will support the Compliance function for UBS Securities Canada Inc. and perform the following:

• partner with legal counsel to ensure that policies, guidelines, standards and Compliance monitoring and testing procedures and business procedures are consistent with local regulatory requirements and interpretations of laws, regulations, rules or any other related industry regulatory standards or guidelines
• liaise with senior management as well as functional leaders in compliance, legal, risk, and IT to provide subject-matter expertise on existing, new, or updated laws, rules, and regulations as well as effective challenge, guidance, and advice
• participate in relevant Committees as well as various other global, regional, and cross-product committees
• draft and publish policies and procedures and maintain a local compliance training program
• conduct daily and periodic trading activities review, including exception monitoring and trade surveillance alerts
• identify, investigate and escalation potential regulatory breaches and/or issues

Assist with regulatory compliance exams and interacting with provincial and federal regulators, including regulatory filings as applicable.

• provide strategic direction and oversight to the IB / stakeholders in relation to IB CORC deliverables and initiatives (taking into account applicable : (i) legislation, (ii) rules and guidance, (iii) industry best practice).

Our team sits within the Global Compliance and Operational Risk (GCORC) which aims to build trust, help safeguard our business, and strive for new ways to proactively identify and control existing and emerging risks in a rapidly changing and increasingly digital world.

The Investment Bank Divisional Compliance and Operational Risk (CORC) team helps accomplishes this by providing independent oversight, challenge and control over the non-financial risks arising from UBS’s business activities across multiple levels to ensure compliance, conduct and operational risks are understood, owned, and managed to the Firm's risk appetite. As part of the second line of defense, Canada Compliance identifies and assesses compliance, regulatory and reputational risk by providing independent oversight and challenge of risks, and establishing independent frameworks for risk assessment, measurement, aggregation, and reporting, protecting against non-compliance with applicable laws and regulations.

You will be a member of the team for our local IB business and the location is the UBS Toronto office.

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 :

• ideally 5+ years’ experience in Institutional compliance, legal or, risk control
• experience dealing with local regulators including:
  The Canadian Investment Regulatory Organization ("CIRO"), and the Ontario Securities Commission "("OSC").
• have a strong knowledge of Canadian securities laws and regulations, including the CIRO rules, Universal Market Integrity Rules ("UMIR") and other applicable Canadian securities acts, regulations and rules
• drive change, shape regulation, and uphold industry standards
• synthesize…