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Swap Dealer Compliance Officer The candidate will ... The candidate will manage swap dealer compliance program including assessing and ... swap dealing activities including Swap Dealer quarterly board meetings, among..
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Operational Risk Officer – Control Testing The candidate will be responsible for: Effectively testing/challenging internal control assessments for the Combined US Operations (CUSO) of company. Liaising regularly with the Heads of ..
Senior Counsel, Regulatory Attorney The candidate will report directly ... business legal advice relating to broker-dealers and dual registrants. Will work ... laws, most particularly relating to broker-dealers; Familiarity with..
Operational Risk Officer – Control Testing The candidate will be responsible for: effectively testing/challenging internal control assessments for the Combined US Operations (CUSO) of UBS. Liaising regularly with the Heads of ..
Senior Principal Advisor and Counsel, Market Manipulation The candidate will report to the Vice President, Strategic Operations. Assist MMG and MRTS leadership in the oversight of intra-departmental and inter-departmental initiatives, advise ..
Americas Compliance And Operational Risk Control Chief of Staff The candidate will be responsible for: Providing support to the C&ORC Co-Heads and other senior C&ORC staff in managing the strategic priorities ..
