Business Aligned Compliance Officer Investment Bank, Canada

Job description

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 escalate 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).