Global Banking Equity Capital Markets Compliance Coverage

About the role

The Global Banking Equity Capital Markets Compliance Coverage role at UBS focuses on providing compliance advice and oversight in a fast-paced financial environment. The candidate should have extensive experience in compliance, legal, or risk control, particularly in capital markets coverage, and possess strong relationship management and problem-solving skills.

Responsibilities

• lead coverage and oversight for the Equity Capital Markets business within Global Banking, including private capital markets and convertibles origination
• coordinate within the team to support Global Banking Americas, providing consistency and backup across debt and leveraged finance capital markets and other areas
• support business growth and change initiatives across capital markets, including post-settlement advisory, special equity solutions, and collaboration with Global Wealth Management
• partner with senior management across Global Banking and stakeholders in Compliance, Legal, Risk, and Conflicts to provide guidance and effective challenges
• represent Compliance in global, regional, and cross-product committees, contributing thought leadership
• support expansion of the early-stage company network to drive growth in equity capital markets
• draft and maintain policies, procedures, and training materials
• guide and support junior team members
• advise supervisors on first-line responsibilities
• support regulatory exams and inquiries
• complete compliance risk assessments and evaluate control effectiveness
• perform thematic reviews to identify emerging risks

Requirements

New York, NY Equity Capital Markets (ECM) Compliance, Legal & Regulatory Other Full-time On-site 150k – 250k USD

Qualifications

• Are You Risk-Aware With Strong Independence And Judgment?
• Can You Assess Risks In A Fast-Paced Environment And Provide Clear Guidance?
• Adequate experience in compliance, legal, or risk control, including direct capital markets coverage
• Experience leading senior coverage for a high-profile, growing investment banking business
• Proven ability to drive sustainable change and strengthen the control environment
• Strong relationship management skills with the ability to connect across teams and functions
• Ability to manage multiple priorities under tight deadlines
• Strong analytical and problem-solving skills with sound judgment
• Clear and effective written and verbal communication skills

Skills

Curious to explore how AI can improve workflows. Sound judgment – validating outputs and aligning with policies, risk standards, and ethical use.

Benefits

UBS offers a range of competitive benefits. For further information, please visit ubs.com/employee-benefits.

Pay

The indicative gross base salary range as a full-time equivalent role: United States - New York - New York min USD 190000 - max USD 290000 /annum