• Job Description

  Req#: 334112BR

  Job Reference #

  334112BR

  City

  Pune

  Job Type

  Full Time

  Your role

  Are you incredibly organized with an eye for detail? Do you know how to take care of business?
  
  Support Electronic Blue Sheets (EBS) production and regulatory inquiries from external regulators—primarily FINRA, SEC, and NYSE. This role is a key part of our regulatory operations function.
  
  Prepare, review, and submit Electronic Blue Sheets (EBS) in response to FINRA and other regulatory inquiries
  
  Analyze EBS requests to ensure accuracy, completeness, and regulatory compliance
  
  Escalate gaps or inconsistencies to Onshore support, promptly
  
  Assist internal stakeholders (Compliance, Trading, IT, Clearing) in gathering required information for regulatory responses
  
  Track, manage, and meet regulatory deadlines for EBS submissions and follow-up requests
  
  Maintain documentation of processes, procedures, and correspondence
  
  Assist with regulatory exams, audits, and ongoing supervisory requests, as needed
  
  Identify opportunities to improve EBS processes, controls, and data quality

  Your team

  UBS Financial Services Inc. is a leading firm in the financial services industry, dedicated to providing exceptional wealth management service and innovative solutions to our clients. We are seeking a highly motivated, detail-oriented, and experienced professional to join our Operations team.

  Your expertise

  Bachelor’s degree in finance, Business Administration, or a related field.
  
  2+ years of experience in broker-dealer operations, regulatory reporting, or compliance support
  
  Hands-on experience with Electronic Blue Sheets (EBS), preferred
  
  Working knowledge of U.S. securities markets, equity and options trading, and trade lifecycle
  
  Ability to manage multiple priorities under tight regulatory deadlines
  
  Highly motivated with the ability to learn quickly
  
  Proficiency in Microsoft Office Suite, particularly Excel.
  
  Strong communication and interpersonal skills

  About us

  UBS is a leading and truly global wealth manager and the leading universal bank in Switzerland. We also provide diversified asset management solutions and focused investment banking capabilities. Headquartered in Zurich, Switzerland, UBS is present in more than 50 markets around the globe.
  We know that great work is never done alone. That’s why we place collaboration at the heart of everything we do. Because together, we’re more than ourselves. Want to find out more? Visit ubs.com/careers.

  How we hire

  We may request you to complete one or more assessments during the application process. Learn more

  Join us

  At UBS, we know that it's our people, with their diverse skills, experiences and backgrounds, who drive our ongoing success. We’re dedicated to our craft and passionate about putting our people first, with new challenges, a supportive team, opportunities to grow and flexible working options when possible. Our inclusive culture brings out the best in our employees, wherever they are on their career journey. And we use artificial intelligence (AI) to work smarter and more efficiently. We also recognize that great work is never done alone. That’s why collaboration is at the heart of everything we do. Because together, we’re more than ourselves.
  We’re committed to disability inclusion and if you need reasonable accommodation/adjustments throughout our recruitment process, you can always contact us.

  Contact Details

  UBS Business Solutions SA
  UBS Recruiting

  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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