ECM Compliance Lead – Global Banking Coverage

UBS; New York (NY); On-site; USD 190,000 - 290,000; Full time

Job summary

UBS in New York is seeking a Global Banking compliance specialist with deep risk awareness and independent judgment to advise on policies and regulations across the business.

You will lead coverage for Equity Capital Markets within Global Banking, coordinate with Americas teams, and support growth initiatives while partnering with Compliance, Legal, Risk, and Conflicts to provide effective challenge. The role requires senior-level expertise and strong communication.

Qualifications

• 15+ years of experience in compliance, legal, or risk control.
• Direct capital markets coverage experience.
• Strong leadership with ability to guide senior coverage.
• Experience partnering across business lines on strategic initiatives.
• Proven ability to drive change and strengthen controls.

Responsibilities

• Lead coverage and oversight for the Equity Capital Markets business within Global Banking.
• Coordinate with teams to support Global Banking Americas across debt and leveraged finance capital markets.
• Support growth initiatives across capital markets, including post-settlement advisory.
• Partner with senior management across Global Banking and stakeholders in Compliance, Legal, Risk, and Conflicts to provide guidance.
• Represent Compliance in global, regional, and cross product committees, contributing thought leadership.
• Draft and maintain policies, procedures, and training materials.
• Guide and support junior team members.

Skills

Compliance leadership

Capital markets coverage

Risk control

Regulatory expertise

Stakeholder management

Communication skills

Job description

UBS in New York is seeking a Global Banking compliance specialist with deep risk awareness and independent judgment to advise on policies and regulations across the business.

You will lead coverage for Equity Capital Markets within Global Banking, coordinate with Americas teams, and support growth initiatives while partnering with Compliance, Legal, Risk, and Conflicts to provide effective challenge. The role requires senior-level expertise and strong communication.