UBS
Securities Specialist
This job is now closed
Job Description
- Req#: 309965BR
Job Reference #
309965BR
City
New York
Job Type
Full Time
Your role
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.Your Career Comeback
We are open to applications from career returners. Find out more about our program on ubs.com/careercomeback.
Your team
You’ll be working within the Securities Operations team based in New York, Connecticut and Nashville. You’ll be primarily responsible for partnering with business partners across the Investment Bank’s Operations in the U.S.
Your expertise
-3 to 5+ years’ proven experience within securities regulatory broker dealer operations within the Compliance, Regulatory, Controls, Risk management or similar areas.
-Experience of Securities Operations/Risk and Control /Regulatory required.
-Experience or basic knowledge of automation tools such as vba, MS access, Alteryx, Python, or others is a plus.
-Experience with Broadridge’s applications / sub ledger is preferred, although not required.
-Able to manage risk, critical exposure, and escalations in a dynamic, fast paced environment.
-Able to build and retain relationships with business partners across the Investment Banking Operations, with financial acumen.
-Able to think creatively and logically to solve problems.
-Able to execute and delegate in a complex and multi-level stakeholder environment.
-Management experience (either managing projects, or teams) is expected.
*LI-UBSAbout us
UBS is the world’s largest and the only truly global wealth manager. We operate through four business divisions: Global Wealth Management, Personal & Corporate Banking, Asset Management and the Investment Bank. Our global reach and the breadth of our expertise set us apart from our competitors..
We have a presence in all major financial centers in more than 50 countries.Salary information
US Only: The expected salary range for this role is $108000 to $133000 based on factors including, but not limited to, experience, qualifications, education, location and skill level. Please see «Your role» section for detailed salary information.
Join us
At UBS, we embrace flexible ways of working when the role permits. We offer different working arrangements like part-time, job-sharing and hybrid (office and home) working. Our purpose-led culture and global infrastructure help us connect, collaborate, and work together in agile ways to meet all our business needs.
From gaining new experiences in different roles to acquiring fresh knowledge and skills, we know that great work is never done alone. We know that it's our people, with their unique backgrounds, skills, experience levels and interests, who drive our ongoing success. Together we’re more than ourselves. Ready to be part of #teamUBS and make an impact?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.
About the company
UBS is a global firm providing financial services in over 50 countries. Visit our site to find out what we offer in the United States of America.
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