Are you an expert in CFTC Swap Dealer and SEC Security-based Swap Dealer (SBSD) rules? Are you interested in joining a global team that overseas regulatory requirements and control frameworks? Do you have experience with providing guidance, conducting risk assessments, performing testing, and supporting regulatory implementations?


The UBS Swap Dealer Regulatory Governance Team is looking for an experienced compliance professional to:

• assist in the planning, coordination, and delivery of our team's annual Swap Dealer and SBSD review
• support complex rules-based Swap Dealer reviews by analyzing and providing credible challenge regarding key first line of defense processes, procedures, and controls
• support compliance reviews, prepare detailed supporting workpapers, and draft impactful final reports setting out the findings, conclusions, ratings, and remedial actions
• assist management with the reporting of impactful results, trends, issues, and themes to Swap Dealer governance and risk committees
• participate in the development and enhancement of testing methodologies and standards
• contribute as lead or joint assessor in the execution of the annual rules-based Compliance Risk Assessments
• provide advice, guidance, and support to Swap Dealer stakeholders regarding CFTC and SEC rule interpretation, product classifications, client eligibility, Swap Data Repository (SDR) and Security-based Swap Data Repository (SBSDR) technical specifications and reporting requirements, on-platform Swap Execution Facility (SEF) and Security-based Swap Execution Facility (SBSEF) rulebooks and trading requirements, industry trends, and regulator expectations
• perform second line of defense monitoring of certain processes that impact compliance with relevant CFTC and SEC rules
• provide support on regulatory examinations and internal audits, including driving associated remediations with relevant stakeholders
• participate in the governance of Swap Dealer and SBSD Associated Persons

Detailed salary information:
• Washington, Raleigh, Nashville: the salary range for this role is $98000 to $123000
• Weehawken, Stamford, New York: the salary range for this role is $119000 to $156000
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 ubs.com/usbenefits.