Compliance Officer Asset Management Vp #230916

Credit Suisse Group AG has been acquired by UBS Group AG. Credit Suisse continues its business activities as a subsidiary company of UBS Group AG, including selective hiring for experienced professionals.

UBS is the world's largest and only truly global wealth manager. We operate through four business divisions: Global Wealth Management, Personal & Corporate Banking, Asset Management, and the Investment Bank. Our global reach and the breadth of our expertise set us apart from our competitors.

From gaining new experiences in different roles to acquiring fresh knowledge and skills, we know that great work is never done alone. We know that it's our people, with their unique backgrounds, skills, experience levels and interests, who drive our ongoing success. Together we're more than ourselves. Ready to be part of #teamUBS and make an impact?

UBS is an Equal Opportunity Employer. We respect and seek to empower each individual and support the diverse cultures, perspectives, skills, and experiences within our workforce.

Your field of responsibility

We're looking for an outstanding Compliance Officer to support UBS Asset Management's Credit Investments Group (CIG), one./s of business of UBS Asset Management. CIG has about $60 billion in assets under management and invests in non-investment grade credit strategies, including Senior Secured Bank Loans, High Yield Bonds and Loans, rated and equity tranches of CLOs and Private Credit lending transactions. CIG deploys it strategies via various vehicles including CLOs, separately managed accounts, mutual funds, and other commingled vehicles.

Your future colleagues

You'll work in a friendly, dynamic, and integrated team of professionals, which is responsible for managing the compliance and operational risks of UBS's Asset Management business. Our duties include implementing the Compliance and Operational Risk Framework of UBS' Asset Management Division and UBS Americas' Combined US Operations, and ensuring compliance and operational risks are identified, assessed, and managed properly

Credit Suisse's Experienced and Campus Recruitment team are recruitment specialists and Credit Suisse brand ambassadors, who strategically partner with the business to solve recruitment challenges, provide direction as a control function and make valuable contributions to hiring processes. This support is end to end from planning through execution and across levels from entry level to executive hiring. We connect Credit Suisse with passionate and talented people, who deliver results and embody our culture.  We are a department which values Diversity and Inclusion (D&I) and is committed to realizing the firm's D&I ambition which is an integral part of our global cultural values 

Your skills and experience

• Providing independent advice, challenge and control to the business' compliance risk-taking.
• Assisting in the administration, maintenance and improvement of the compliance policies, procedures and processes of CIG, and connecting them to those of UBS Asset Management and the wider UBS Americas organization.
• Assessing the impact of regulatory developments, supporting regulatory change management efforts, and providing regulatory updates to the business.
• Evaluating trading, information barrier and specialist network requests.
• Influencing investment team members within CIG on key compliance risks and their mitigation.
• Advising CIG on, and evaluating, projects, new initiatives, business objectives, policies, procedures, processes, risk events, controls, and/or compliance testing and monitoring.
• Periodic reporting and regulatory filings (including Form ADV).
• Ongoing reviews of marketing material and diligence related questionnaires.
• Contributing to the development, deployment, and enforcement of UBS AM's Code of Ethics program.
• 5 - 10 years of prior Asset Management compliance experience at a global financial institution, asset manager, regulatory agency or major consulting firm covering credit funds or alternative investments.
• Experience with senior secured loans, private credit, high-yield bonds, and CLOs is strongly desired.
• Expertise in securities regulation is a must, as well as a thorough understanding of the legal and regulatory expectations / requirements related to private funds, SMA's and registered investment companies.  Bank regulatory expertise is a plus.
• Knowledge of front to back Asset Management operating models (operational procedures, investment process, applications used, etc.) is a plus.
• Structured, rigorous, analytical, holistic and thorough in your approach, of sound judgment and common sense, with the ability to form defensible conclusions from risk assessments and the ability to "stand your ground", where necessary.
• A Bachelor's degree in a relevant area of study. A graduate degree (e.g., MBA or JD) is a plus.
• Excellent interpersonal skills, and crucially, a collegial, friendly team player.
• Ability to articulate views, assessments and approaches both verbally and in writing precisely, concisely and persuasively.
• Ability to present to and respond effectively to senior internal and external stakeholders, including regulators.
•  Capacity to calmly manage conflicting priorities and pressure in a demanding, high-paced and high-volume environment.
• Dedication to fostering an inclusive culture and value diverse perspectives

The salary range for this position is $125,000.00 to $205,000.00 annually, based on various factors such as experience, education, skills, internal and external market data, etc.