UBS Bank, New York is hiring and inviting applications for a Regulatory Affairs Legal Counsel job.

About UBS Bank

UBS Group AG is a multinational investment bank and financial services company founded and based in Switzerland. Co-headquartered in the cities of Zürich and Basel, it maintains a presence in all major financial centers as the largest Swiss banking institution and the largest private bank in the world.

About Regulatory Affairs Legal Counsel Job Opportunity

UBS Bank, New York, is hiring and inviting applications for a Regulatory Affairs Counsel job.

Role and Responsibilities

  • Serve as the face of UBS’s Investment Bank to its regulators, with a focus on futures 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 futures and 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 NFA, CME, CFTC, SEC and FINRA and with UBS senior management and other groups throughout our firm
  • Build and maintain exemplary relationships with their 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

Eligibility for Regulatory Legal Counsel Job

  • Ideally 5+ years of experience in another broker-dealer, regulatory entity, or law firm practicing in investment banking regulatory matters, preferably in connection with futures examinations and/or regulatory inquiries
  • Significant experience with and understanding of FINRA, SEC, futures (including but not limited to CFTC, CME, ICE Futures US), Rules and Regulations, particularly those pertaining to 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 escalate issues of potential regulatory risk in a timely and succinct manner
  • 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 PowerPoint
  • Possess a JD from an accredited law school and license to practice law in New York, or ability to obtain appropriate licensure as in-house counsel

How to Apply?

Please find the link at the end of this post.


New York

Click here to apply for Regulatory Legal Counsel job