Overview

Do you know the Municipal Securities Rulemaking Board Rule G-37 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 are looking for someone like that who can:

 conduct reviews of requests to service government entities located in the United States to determine whether the request, if approved, will trigger 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 requests for pre-clearance of personal political contributions and fundraising activities to reasonably ensure compliance with applicable “pay-to play” rules, and investigate reports generated by Surveillance to determine whether employees obtained required pre-clearance, providing education and referring for discipline consideration as appropriate
 analyze requests to provide gifts & entertainment to Public Officials for compliance with state and local laws. Often times these requests are last limit and require a quick and accurate turn-around.
 provide advice to our employees concerning laws, rules, and regulations applicable to servicing government entities located in the United States and enhancements to the firm’s policies and procedures
 review due diligence work of Compliance Analyst in response to business requests to service government accounts and direct next steps, including identification of potential issues or matters for escalation
 partner with Government Relations-Legal on potential conflicts of interest, lobbyist registration requirements, and federal contractor implications to reasonably ensure that risks are effectively mitigated and required reporting is complete and accurate
 assist with ad-hoc projects
 complete UBS’s annual BSA/AML/OFAC training

Your team

As a Compliance Officer in Anti-Bribery & Corruption/Government Relations Compliance, which is part of the Global Financial Crime Department, you will be actively involved in conducting internal reviews of business requests to service government entities located in the United States, 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.

Your expertise

You have:
 Bachelors’ degree or higher degree, JD preferred
 Ideally 5+ years of securities or business ethics experience at a law firm, regulatory agency, or financial institution
 direct government relations experience a plus
 strong writing and communication skills

You are:
 knowledgeable of banking laws/regulations, specifically Municipal Securities Rulemaking Board G-37, U.S. state and local “pay-to-play,” gift & entertainment, conflict of interest and procurement lobbying laws
 highly flexible, 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

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