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Harry Cassin
Publisher and Editor

Andy Spalding
Senior Editor

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Senior Editor

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Richard L. Cassin
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Editor Emeritus

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Bill Waite
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Shruti J. Shah
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Russell A. Stamets
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Eric Carlson
Contributing Editor

Job: Compliance Officer – Policies & Procedures (UBS)

Job Title: Compliance Officer – Policies & Procedures

Employer: UBS AG

Location: Stamford, Connecticut USA



UBS AG, a global financial services company, seeks a Compliance Officer to oversee the the policies and procedures framework for the Americas Compliance & Operational Risk Control Function. Specific responsibilities to include:

• establishing a regional policy framework (e.g., develop a cross-divisional process for adopting and periodically reviewing policies and procedures)

• working with Divisional Compliance teams to assess policy needs

• developing guidelines and templates for policies and procedures . . . Continue Reading , , ,

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