3-5 yrs required
Fresno, CA, United States
May 11, 2022
Aug 24, 2022
Structured Products Lawyer, Investment Bank
The candidate will partner with US Global Markets business colleagues to provide legal and regulatory advice regarding structured products, such as equity-linked notes. Support the business teams through all stages of a transaction, from inception to execution. Collaborate with colleagues from Legal and different control functions in the US and globally. Stay current with relevant developments to ensure UBS meets its legal and regulatory obligations owed to customers and financial regulators. Advise business colleagues on legal and regulatory issues connected to the issuance and distribution of structured products. Should have 3-5 years of prior legal experience in a similar role, either at a law firm or in-house. Must be qualified as a licensed lawyer in New York or eligible for New York In-house Counsel registration. Should be well-versed with registered securities offering filings and materials; experienced in drafting and reviewing prospectuses, pricing supplements, product risk disclosures, etc. Must be adept with OTC derivatives, funding and financing transactions, and ISDA documentation. Should have deep knowledge of transaction-related securities law concepts under the ’33 Act and ’34 Act as well as the Volcker Rule and FINRA regulations. A solid understanding of the Investment Advisers Act, ERISA, Investment Company Act, BHCA, and Dodd-Frank is a plus. A strong written and verbal communicator who excels in collaborating with colleagues across different functions at all levels. Should be able to simultaneously handle multiple, complex projects and consistently meet deadlines. Must be comfortable working in a dynamic, quick-paced environment where responsiveness and accountability are essential. Should be able to work independently and make well-reasoned legal decisions and risk judgments. Must be accustomed to partnering with business persons to achieve commercial solutions that respect applicable laws and internal policies.