Compliance Officer/Regulatory Attorney
Location: New York, New York
Description: UBS is presently looking of Compliance Officer/Regulatory Attorney right now, this job will be designated in New York. Further informations about this job opportunity kindly read the description below.
- UBS Securities LLC, a global financial services company seeks a Compliance Officer/Regulatory attorney to handle various SEC, NASD, NYSE and other regulatory matters. Han! dling these regulatory inquiries, investigations and examinations involves (i) interacting closely with regulators, (ii) working with employees throughout the firm, (iii) gathering and organizing documents and information, and (iv) coordinating its production.
- Bachelor's Degree, (a law degree a plus)
- Minimum of 4 years of experience in another broker-dealer, SRO or law firm and have worked on regulatory inquires and/or examinations.
- Experience dealing with SEC, SROs and other regulators in connection with responding to regulatory inquiries, and examinations
- Strong knowledge of equities and fixed income trading rules and regulations
- Strong communications skills (written and oral)
- Experience working at an Investment Bank
UBS can offer you an environment geared towards performance, attractive career opportunities, ! and an open corporate culture that values and rewards the cont! ribution of every individual.
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If you were eligible to this job, please send us your resume, with salary requirements and a resume to UBS.
Interested on this job, just click on the Apply button, you will be redirected to the official website
This job will be started on: Wed, 17 Jul 2013 18:35:45 GMT
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