Swap Dealer Regulatory Governance Officer
As the Swap Dealer Regulatory Governance Officer at UBS, you will play a critical role in ensuring our compliance with all regulatory requirements related to our swap dealer activities. We are seeking a highly skilled and experienced professional to join our team and oversee all aspects of regulatory governance for our swap dealer business. This is a unique opportunity to work for a global financial institution and make a significant impact in maintaining UBS's strong reputation for regulatory compliance.
- Develop and maintain a comprehensive understanding of all relevant swap dealer regulations and regulatory requirements.
- Ensure that UBS's swap dealer activities are conducted in accordance with all applicable laws, rules, and regulations.
- Monitor and assess changes in regulatory requirements and communicate any potential impacts to senior management.
- Develop and implement policies, procedures, and controls to ensure compliance with all regulatory requirements.
- Conduct regular audits and reviews to identify any potential compliance issues and work with relevant teams to address and remediate them.
- Serve as the main point of contact for all regulatory inquiries and examinations related to the swap dealer business.
- Collaborate with internal stakeholders to ensure that all regulatory reporting requirements are met accurately and in a timely manner.
- Provide guidance and training to employees on regulatory requirements and best practices to maintain compliance.
- Stay up-to-date on industry trends and developments in swap dealer regulations and proactively make recommendations for any necessary changes to UBS's practices and procedures.
- Prepare and present reports to senior management and regulatory agencies on the status of UBS's compliance with swap dealer regulations.
- Serve as a subject matter expert and provide guidance to other departments on regulatory matters related to swap dealer activities.
- Foster a culture of compliance within the organization by promoting awareness and understanding of regulatory requirements.
Strong Understanding Of Financial Regulations And Compliance: The Ideal Candidate For This Role Should Have A Deep Understanding Of The Regulatory Landscape And Compliance Requirements For Swap Dealers, Including Knowledge Of Dodd-Frank, Cftc Regulations, And Other Relevant Laws And Regulations.
Experience In Regulatory Governance: The Candidate Should Have A Proven Track Record Of Developing And Implementing Effective Regulatory Governance Frameworks, Policies, And Procedures In A Financial Institution.
Risk Management Expertise: The Role Of A Swap Dealer Regulatory Governance Officer Involves Identifying And Mitigating Potential Risks Associated With Swap Trading Activities. Therefore, The Candidate Should Possess Strong Risk Management Skills And Be Able To Develop And Implement Risk Management Strategies.
Excellent Communication And Interpersonal Skills: The Candidate Should Have Strong Communication And Interpersonal Skills To Effectively Collaborate With Internal Stakeholders, Regulators, And Industry Associations. This Includes The Ability To Clearly Articulate Complex Regulatory Requirements And Changes To Senior Management And Business Teams.
Relevant Industry Experience: The Candidate Should Have At Least 5-7 Years Of Experience In A Similar Role In The Financial Industry, Preferably With A Focus On Swap Trading Activities. This Experience Should Include Working With Regulatory Agencies And Managing Relationships With External Stakeholders.
Process Improvement
Data Analysis
Compliance Management
Risk assessment
Legal Research
Policy Development
Documentation management
Stakeholder Communication
Audit Coordination
Regulatory Oversight
Training And Education
Communication
Conflict Resolution
Emotional Intelligence
Leadership
Time management
Interpersonal Skills
creativity
Teamwork
Adaptability
Problem-Solving
According to JobzMall, the average salary range for a Swap Dealer Regulatory Governance Officer in New York, NY, USA is $100,000-$150,000 per year. However, this can vary depending on the specific company, experience level, and other factors. It is always best to research the specific company and role to get a more accurate salary estimate.
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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.
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