Swap Dealer Regulatory Governance Officer

Are you a highly organized and detail-oriented individual with a strong understanding of regulatory compliance? Do you have a passion for the financial industry and a desire to ensure that all operations are conducted in accordance with relevant laws and regulations? If so, we have an exciting opportunity for you to join our team at UBS as a Swap Dealer Regulatory Governance Officer.In this role, you will be responsible for overseeing all aspects of regulatory governance for our swap dealer operations. This includes ensuring compliance with all applicable laws and regulations, as well as developing and maintaining internal policies and procedures to promote a culture of compliance within the organization.To be successful in this position, you should have a deep understanding of swap dealer regulations, as well as strong analytical skills and the ability to effectively communicate and collaborate with various stakeholders. You should also possess excellent organizational skills and be able to manage multiple priorities in a fast-paced environment.If you are a motivated and dedicated individual with a strong sense of integrity and a commitment to regulatory compliance, we invite you to apply for this exciting role at UBS. Join us in our mission to maintain the highest standards of governance and compliance in the financial industry.

1. Develop and maintain internal policies and procedures to ensure compliance with all relevant laws and regulations for swap dealer operations.
2. Monitor and assess regulatory changes and updates, and communicate any potential impact to senior management and relevant teams.
3. Conduct regular audits and reviews of swap dealer operations to identify any potential compliance issues and develop corrective action plans.
4. Collaborate with various teams and stakeholders to implement and maintain a culture of compliance throughout the organization.
5. Stay up-to-date with industry best practices and regulatory developments to continuously improve and strengthen the organization's compliance program.
6. Provide guidance and support to employees on regulatory compliance matters and serve as a subject matter expert on swap dealer regulations.
7. Prepare and submit reports to regulatory bodies as required and ensure timely and accurate completion of all regulatory filings.
8. Conduct training and educational sessions for employees to promote understanding and awareness of regulatory compliance requirements.
9. Conduct risk assessments to identify potential compliance risks and develop strategies to mitigate them.
10. Serve as a liaison between the organization and regulatory bodies, responding to inquiries and providing necessary documentation and information.
11. Maintain accurate and organized records of all compliance activities and ensure all necessary documentation is up-to-date and easily accessible.
12. Collaborate with the legal team to address any potential legal or regulatory issues and provide support for any related investigations or audits.
13. Continuously assess and improve the organization's compliance program, making recommendations for enhancements and implementing new processes and procedures as needed.

According to JobzMall, the average salary range for a Swap Dealer Regulatory Governance Officer in Tennessee, USA is $80,000-$120,000 per year. This may vary depending on factors such as the specific company, location, and level of experience.

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.