Rates and Structured Finance Compliance Officer

Welcome to UBS, a leading global financial institution that is committed to providing exceptional services to our clients. We are currently seeking a talented and experienced Rates and Structured Finance Compliance Officer to join our team. As a Compliance Officer, you will play a critical role in ensuring that our Rates and Structured Finance business complies with all relevant laws, regulations, and internal policies. We are looking for a highly motivated individual with a strong background in compliance and a deep understanding of rates and structured finance products. If you are passionate about compliance and want to be part of a dynamic and innovative team, we encourage you to apply for this exciting opportunity at UBS.

1. Develop and maintain a thorough understanding of all relevant laws, regulations, and internal policies pertaining to rates and structured finance products.
2. Monitor and assess the effectiveness of compliance processes, procedures, and controls within the Rates and Structured Finance business.
3. Conduct regular compliance reviews and risk assessments to identify potential areas of non-compliance and implement corrective actions.
4. Collaborate with various departments, including legal, risk management, and business teams, to ensure compliance with all applicable laws and regulations.
5. Stay up-to-date on industry developments, regulatory changes, and best practices related to rates and structured finance compliance.
6. Educate and train employees on compliance policies and procedures to ensure a strong culture of compliance within the Rates and Structured Finance business.
7. Conduct investigations and audits as needed to identify and address potential compliance issues.
8. Prepare and submit regulatory filings and reports as required by relevant governing bodies.
9. Communicate with regulators and respond to inquiries or requests for information.
10. Provide guidance and advice to the business on compliance-related matters and participate in the development and implementation of new products and services.
11. Regularly report to senior management on compliance matters, including potential risks and areas for improvement.
12. Participate in industry forums and conferences to stay informed on emerging trends and best practices in rates and structured finance compliance.
13. Maintain accurate and thorough records of compliance activities, including audits, investigations, and training sessions.
14. Work closely with the global compliance team to ensure consistent and effective compliance practices across all regions.
15. Uphold the company's code of conduct and ethical standards at all times.

According to JobzMall, the average salary range for a Rates and Structured Finance Compliance Officer in New York, NY, USA is $90,000 - $125,000 per year. However, this can vary depending on factors such as the specific company, job responsibilities, and level of experience. Some job listings may offer higher salaries for candidates with more experience and/or additional qualifications.

UBS is a global firm providing financial services in over 50 countries. The company provides wealth management, asset management, and investment banking services for private, corporate, and institutional clients worldwide.