Your role

Are you interested in developing and driving solutions that advance UBS's strategic objectives? Do you execute with excellence? Are you entrepreneurial, proactive, and forward looking?
As the Chief Compliance Officer and Chief Anti Money Laundering Officer, you will oversee and lead the Compliance function for UBS Securities Canada Inc. and perform the following:
• partner with legal counsel to ensure that policies, guidelines, standards and Compliance monitoring and testing procedures and business procedures are consistent with local regulatory requirements and interpretations of laws, regulations, rules or any other related industry regulatory standards or guidelines
• liaise with senior management as well as functional leaders in compliance, legal, risk, and IT to provide subject-matter expertise on existing, new, or updated laws, rules, and regulations as well as effective challenge, guidance, and advice
• participate in relevant Committees as well as various other global, regional, and cross-product committees
• draft and publish policies and procedures and maintain a local compliance training program
• participate and provide support in regulatory exams and inquiries
• complete Compliance Risk Assessments and thematic reviews to assess emerging risk themes
• running the IB Financial Crime Prevention (FCP) function for the Canadian IB Legal entities (working with FCP team members in Canada in the United States, and globally as applicable).
• acting as the local Money Laundering Reporting Officer / Chief AML Officer for the IB Canadian Entities - key duties will be: (i) Local Board Reporting on FCP Matters; (ii) contributing to the FCP Global Risk Assessment (which involves completing local Canadian Questionnaires annually); (iii) Owning and overseeing any local IB Canada specific compliance and AML/KYC policies, procedures and protocols (as well as any KPC attestations that relate to these local policies, procedures, protocols) to ensure they meet current regulatory expectations and are aligned with enterprise-wide standards.
• being the focal point for any GIA / Regulatory compliance exams (inclusive of AML / FCP exams) and interacting with provincial and federal regulators, including regulatory filings as applicable.
• implementing the IB FCP Framework of UBS' global IB Division, and ensuring compliance, operational and FCP risks are identified, properly assessed and managed.
• provide strategic direction and oversight to the IB / stakeholders in relation to IB FCP deliverables and initiatives (taking into account applicable : (i) legislation, (ii) rules and guidance, (iii) industry best practice).

Your team

Our team sits within the Global Compliance and Operational Risk (GCORC) which aims to build trust, help safeguard our business, and strive for new ways to proactively identify and control existing and emerging risks in a rapidly changing and increasingly digital world. The Investment Bank Divisional Compliance and Operational Risk (CORC) team helps accomplishes this by providing independent oversight, challenge and control over the non-financial risks arising from UBS's business activities across multiple levels to ensure compliance, conduct and operational risks are understood, owned, and managed to the Firm's risk appetite. As part of the second line of defense, Canada Compliance identifies and assesses compliance, regulatory and reputational risk by providing independent oversight and challenge of risks, and establishing independent frameworks for risk assessment, measurement, aggregation, and reporting, protecting against non-compliance with applicable laws and regulations.
You will be a member of the senior management team for our local IB business and located in our Toronto office.

Your expertise
• have 10-15 years' experience in compliance, legal, risk control, or audit, at least 5 years of which you have been in a management role
• experience dealing with local regulators including: The Canadian Investment Regulatory Organization ("CIRO"), Office of the Superintendent of Financial Institutions Canada ("OSFI"), the Canada Deposit Insurance Corporation ("CDIC"); the Financial Consumer Agency of Canada ("FCAC"); and the Ontario Securities Commission "(OSC").
• have a strong knowledge of Canadian banking and securities laws and regulations, including the CIRO rules, UMIR rules, Bank Act (Canada) and regulations, OSFI Guidelines, Ontario Securities Commission, CDIC By-Laws, and other applicable Canadian securities acts, regulations and rules
• drive sustainable change, influence regulation and uphold industry leading standards
• bring together information from different places and collaborate to provide a better risk control environment
• demonstrate strong interpersonal and leadership skills
• work in a faced-pace and dynamic environment, leveraging data analytics and technological capabilities
• have sound judgment, curiosity, and able to adapt to a changing regulatory landscape