Director, Global Markets Execution Service Cash Equities

Job description

UBS Business Solutions US LLC is seeking a Director, Global Markets Execution Service Cash Equities in New York, NY.

Are you an innovative thinker? Are you focused on the details, even when under pressure? Do you enjoy delivering enhanced change capabilities across a range of business functions?

We’re looking for a Director, Global Markets Execution Service Cash Equities to:

• 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 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.
• Can work hybrid (In-office/remote).

Qualified Applicants apply through [email protected]. Please reference 001680. NO CALLS PLEASE. EOE/M/F/D/V. #LI-DNI