Securities Specialist
UBS
Are you a strong problem solver? Would you like to help us enhance our stakeholder support, now and for the future?
In Investment Bank Operations we are the experts in how the firm operates. To succeed, our team must deliver the following:
• Drive the organisation forward by working with purpose and passion.
• Inspire people by leading inclusively and fostering diversity.
• Put clients first, building a high level of trust and partnership with clients.
We’re looking for a Service Delivery Specialist to:
•Work directly with Investment Banking Front Office, Middle Office, Operations (Equity and Fixed Income) and Finance business partners.
•Manage U.S. Regulatory Broker Dealer processes (i.e. ensuring Customer Protection of Client Assets).
•Promote the highest standard of culture/conduct by identifying and analysing issues.
•Be an escalation contact for the team to help problem solve/assess risk on a wide range of regulatory securities operations topics.
•Provide supervisory controls for regulatory processes including Seg Deficit root cause analysis, 17a13 confirmations, prospectus delivery, and confirmation / statement accuracy.
•Perform ongoing second line of defence, risk reviews and assessments to proactively identify and mitigate operational risks.
•Deliver against existing and new regulatory, industry and internal requirements and standards.
•Self-direct, analyze and evaluate issues and opportunities; form independent judgements.
•Utilize Strong interpersonal skills; Ability to build trust and confidence of colleagues, strengthen relationships through ongoing dialogue and interactions, and collaborate well with others.
•Display highly organized business habits, manifesting in exceptional attention to detail and excellent follow-through.
•Communicate with excellent verbal and written skills.
•Identify and deliver transformation opportunities within the U.S. Regulatory Broker Dealer processes.
•Address requests from internal / external auditors and U.S. regulators.
Detailed salary information:
• New York: the salary range for this role is $108000 to $133000
The expected salary range(s) for this role as of the date of this posting is/are based on factors including, but not limited to, experience, qualifications, education, location and skill level. This role may also be eligible for discretionary incentive compensation. For benefits information, please visit ubs.com/usbenefits.
In Investment Bank Operations we are the experts in how the firm operates. To succeed, our team must deliver the following:
• Drive the organisation forward by working with purpose and passion.
• Inspire people by leading inclusively and fostering diversity.
• Put clients first, building a high level of trust and partnership with clients.
We’re looking for a Service Delivery Specialist to:
•Work directly with Investment Banking Front Office, Middle Office, Operations (Equity and Fixed Income) and Finance business partners.
•Manage U.S. Regulatory Broker Dealer processes (i.e. ensuring Customer Protection of Client Assets).
•Promote the highest standard of culture/conduct by identifying and analysing issues.
•Be an escalation contact for the team to help problem solve/assess risk on a wide range of regulatory securities operations topics.
•Provide supervisory controls for regulatory processes including Seg Deficit root cause analysis, 17a13 confirmations, prospectus delivery, and confirmation / statement accuracy.
•Perform ongoing second line of defence, risk reviews and assessments to proactively identify and mitigate operational risks.
•Deliver against existing and new regulatory, industry and internal requirements and standards.
•Self-direct, analyze and evaluate issues and opportunities; form independent judgements.
•Utilize Strong interpersonal skills; Ability to build trust and confidence of colleagues, strengthen relationships through ongoing dialogue and interactions, and collaborate well with others.
•Display highly organized business habits, manifesting in exceptional attention to detail and excellent follow-through.
•Communicate with excellent verbal and written skills.
•Identify and deliver transformation opportunities within the U.S. Regulatory Broker Dealer processes.
•Address requests from internal / external auditors and U.S. regulators.
Detailed salary information:
• New York: the salary range for this role is $108000 to $133000
The expected salary range(s) for this role as of the date of this posting is/are based on factors including, but not limited to, experience, qualifications, education, location and skill level. This role may also be eligible for discretionary incentive compensation. For benefits information, please visit ubs.com/usbenefits.
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