Asset Management – Compliance and Operational Risk Control Officer
UBSUnited states - illinois, united states - new jersey, united states - new yorkUpdate time: June 1,2020
Job Description
Are you interested in separate managed accounts, registered funds or alternative investments, like hedge funds or real assets? Or some or all of them? Do you know the Investment Advisers Act, the Investment Company Act, the Commodity Exchange Act and/or the Securities Exchange Act? Maybe you are familiar with operational risk control? Would you enjoy providing guidance and advice to the business, designing and running controls, interpreting and implementing regulatory change, managing third party service providers, conducting testing, surveillance and monitoring reviews, and challenging the status quo? Are you collegial, control minded, diligent and a rigorous thinker?

We are looking for an Asset Management compliance and operational risk control officer to:

• support UBS Asset Management's mutual funds, separate managed account, real assets, hedge funds, and funds-of-funds businesses in the Americas with regulatory guidance and in managing their compliance and operational risk frameworks.
• develop, review and evaluate surveillance reports from various internal systems and third party vendors.
• research and validate discrepancies in surveillance data and escalate to the responsible parties to resolve the discrepancies.
• manage the oversight of third party sub-advisers and other service providers, including delivery of questionnaires, attendance and participation in onsite visits, and documenting the visits.
• prepare and review fund board and other governance bodies materials.
• assist with the periodic reviews of the policies, procedures and processes of our funds, investment advisers and broker-dealers and with the preparation of the applicable periodic regulatory filings.
• assist with our operational risk taxonomy and control framework.

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