Government Relations Compliance Specialist
Do you know the Securities and Exchange Commission’s 17 CFR § 275.206(4)-5 and other “pay-to-play” Rules? Do you know attempts to influence U.S. government contracting and purchasing decisions may constitute “procurement lobbying” and require registration and reporting requirements? Are you aware of various state and local gift & entertainment laws that severely limit what Public Officials can accept from interested parties?
We’re looking for a U.S. Government Relations Compliance Officer to:
• Conduct reviews of requests to service government entities located in the United States on behalf of the Investment Bank, Asset Management and Wealth Management USA to determine whether the request, if approved, will trigger procurement lobbyist registration, create the appearance of a conflict of interest, or comply with applicable “pay-to-play” rules, and advise the business on limitations and recommendations.
• Analyze federal, state and local “pay-to-play” laws, procurement lobbyist laws and other laws that potentially impact the firm’s ability to solicit US government business.
• Analyze requests for pre-clearance of personal political contributions and fundraising activities to ensure compliance with applicable “pay-to play” rules.
• Analyze requests to offer gifts & entertainment to US Public Officials for compliance with state and local laws.
• Advise UBS employees concerning laws, rules and regulations applicable to servicing government entities located in the United States.
• Enhance UBS policies and procedures.
• Assist in creating training modules for targeted employees.
You’ll be working in the US Government Relations Compliance team in Nashville, TN, which is part of the Global Financial Crime Prevention Department. You will be actively involved in conducting internal reviews of business requests to service government entities located in the U.S., requests for pre-clearance of personal political contributions to reasonably ensure compliance with applicable “pay-to-play” rules and requests to provide gift & entertainment to Public Officials to ensure compliance with state and local gift & entertainment laws.
• Ideally 5+ years of experience in Bachelors’ degree or higher degree, JD preferred
• Knowledge of banking laws/regulations, U.S. federal, state and local “pay-to-play,” gift & entertainment, conflict of interest and procurement lobbying law
• Multi-task oriented and capable of changing directions based on business demands
• Detail-oriented with ability to evaluate different, complex situations and make appropriate and timely decisions
• Responsive to real-time gift & entertainment requests
• Advance written and communication skills
• Analytic, with the ability to provide practical solutions for minimizing risk
• Result-oriented (you don’t shy away from challenging situations)
• Experience in implementing and executing compliance risk assessments and controls testing
• Experience enhancing books and records controls
• Experience with SAP Travel and Expense Reimbursement Tool
• Advanced knowledge of Excel, PowerPoint, Tableau
Expert advice. Wealth management. Investment banking. Asset management. Retail banking in Switzerland. And all the support functions. That’s what we do. And we do it for private and institutional clients as well as corporations around the world.
We are about 60,000 employees in all major financial centers, in more than 50 countries. Do you want to be one of us?
We’re a truly global, collaborative and friendly group of people. Having a diverse, inclusive and respectful workplace is important to us. And we support your career development, internal mobility and work-life balance. If this sounds interesting, apply now.
Disclaimer / Policy Statements
UBS is an Equal Opportunity Employer. We respect and seek to empower each individual and support the diverse cultures, perspectives, skills and experiences within our workforce.
Learn more here
Job posted: 2021-01-06