Director, Global Markets Execution Service Cash Equities

UBS•New York, NY

9d•$184,000 - $225,000•Hybrid

About The Position

UBS Business Solutions US LLC is seeking a Director, Global Markets Execution Service Cash Equities in New York, NY. This role involves performing advisory compliance services related to institutional sales and trading in equities and equity derivatives. The position requires liaising with business stakeholders in the front office, and functional leaders in compliance, legal, risk, IT, and other functional stakeholders to provide effective challenge and guidance from a second line of defense perspective. The role also demands subject-matter expertise on rules and regulations pertaining to equities sales and trading, participation in governance committees, and collaboration with Sales, Trading, Quantitative Analysts, and Technology teams to review risks, guide controls implementation, and draft compliance policies and procedures. The role also involves developing and delivering compliance training, assessing new rules and regulations, and implementing associated compliance program updates. The position can work hybrid (In-office/remote).

Requirements

Bachelor's degree or foreign equivalent in Finance, or a related field of study plus five (5) years of experience in the job offered or as a Compliance Advisor, Analyst, Actions and Distribution Officer, or related occupation.
Advisory/business-aligned compliance, legal, risk control, or audit covering institutional equities and equity derivatives
Providing guidance and advising cash equities and exchange-traded derivatives markets businesses, including sales, high-touch trading, electronic trading, portfolio trading, Alternative Trading Systems, and principal risk trading
Developing and maintaining compliance policies; Regulatory development horizon scanning; Performing deep-dives and thematic review to assess areas of heightened risk
Providing guidance on financial services regulations; Developing and delivering training modules
Sales and trading controls; Performing critical assessments of controls as part of business-as-usual engagement
Developing and implementing new or modified systems related to trading in equities and equity derivatives

Responsibilities

Perform advisory compliance services related to institutional sales and trading in equities and equity derivatives.
Liaise with business stakeholders in the front office, functional leaders in compliance, legal, risk, IT, and other functional stakeholders to provide effective challenge and guidance from a second line of defense perspective.
Provide subject-matter expertise on rules and regulations pertaining to equities sales and trading, including but not limited to Best Execution, Reg NMS, Reg SHO, Reg BI, Reg ATS, Reg SCI, SEC Rule 15c3-5, SEC Rule 605/606, Rule 144, Reg M, transaction reporting rules (including but not limited to equities trade reporting and the Consolidated Audit Trail), exchange rules, and self-regulatory organization rules (e.g. FINRA).
Participate in various business-specific, global, and regional governance committees and forums.
Work with Sales, Trading, Quantitative Analysts, and Technology teams to review risks associated with equities trading, providing guidance on controls implementation and testing for existing and new workflows and systems.
Draft and review compliance policies and procedures related to equities trading.
Develop and deliver compliance training.
Assess new rules and regulations to provide compliance requirements and implement associated compliance program updates.