Would you like to work in an environment that presents opportunities to take on significant responsibility?

As Regulatory Counsel, you will serve as the face of UBS to its regulators in presenting our commitment to regulatory compliance and our strong culture of integrity and transparency. In this role, you will coordinate and oversee regulatory examinations, inquiries, enforcement investigations and ad hoc requests from securities regulators, partnering with various internal departments to gather required data, prepare responses, negotiate resolutions and drive regulator-initiated remediation.

Responsibilities include:
• management and oversight of regulatory matters (inquiries, exams, investigations, enforcement matters and ad hoc requests) which will include regular interaction with regulatory personnel, UBS management and other groups throughout our firm.
• build and maintain exemplary relationships with our firm's regulators.
• identification, organization and coordination of document productions including assessing responsiveness and ensuring information is presented in an accurate, complete and timely manner.
• identification and escalation of issues posing potential regulatory risk.
• drafting of written responses.
• engaging with regulators to advocate our firm's position and point of view.
• negotiating and resolving formal disciplinary actions as needed.
• representing firm personnel in "on-the-record" interviews conducted by regulators.
• selecting, engaging and managing outside counsel as needed.
• working closely with business and compliance personnel to formulate remedial actions and track/drive their implementation.
• creation and distribution of internal reports relating to pending regulatory matters.
• identification of regulatory trends.