UBS Financial Services Securities Middle Office Trade Support Analyst in New York, New York

Your role:

The Securities Middle Office team provides a risk management service to the businesses we support across Equities & Fixed Income, across our Investment Bank & Wealth Management businesses through the performance of various controls managed within the function. These reconciliation encompassing external/internal, account level and non-account level controls.

Core tasks for the team include:

  • Trade Booking

  • Commission/Fee Billing

  • Exception Management

  • Service Level Agreement (SLA) management and metrics

  • Process improvement

  • Project Management

  • Risk Management

  • Metrics Analysis and Metrics Management

  • Root Cause Analysis

The successful candidate will perform the tasks above as they are critical to the overall success of the overall team.

It is expected that the individual will develop relationships with internal and external clients, operating as both a daily contributor and leader within the broader trade support team, in particular focusing on partnering with our offshore colleagues.

Strong communication skills are a requisite for the role, along with a strong front to back ownership mentality. Multi-tasking skills and the ability to prioritize amidst competing / conflicting priorities is fundamental effective delivery of the suite of services involved in this position. Drive and instill a culture of process improvement by eliminating inefficiencies in process.

Additionally, the candidate will develop and apply an understanding of applicable regulations and ensure the relevant control framework for these is adhered to.

Key Target & Objectives of Roles:


  • Manage delivery of service offering to external and internal customers

  • Demonstrate sustained process delivery and process improvement


  • Operate as a leader within the broader team

  • Work effectively with metro/offshore colleagues and management


  • Support key business initiatives to ensure focus on expansion and retention of commission revenues linked to our clients

  • Manage costs of delivery to the business / understand and articulate our cost structure

  • Manage process improvement delivery (PEX) to reduce cost

  • Focus on mitigating risk for both our clients and the businesses we oversee


  • Understanding Front-Back trade flows and how they impact controls along with fixing any processes that are not performing optimally

  • Develop industry knowledge of the products supported by the team

  • Display excellent analytical/problem solving skills in addition to having a sense of urgency regarding his/her responsibilities

What we offer:

Together. That’s how we do things. We offer people around the world a supportive, challenging and diverse working environment. We value your passion and commitment, and reward your performance.

Keen to achieve the work-life agility that you desire? We're open to discussing how this could work for you (and us).

Take the next step:

Are you truly collaborative? Succeeding at UBS means respecting, understanding and trusting colleagues and clients. Challenging others and being challenged in return. Being passionate about what you do. Driving yourself forward, always wanting to do things the right way. Does that sound like you? Then you have the right stuff to join us. 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.

Your team:

You’ll be working in the Equity Sales Support function for the Securities Middle office in New York. We are responsible for order management in the booking systems across Electronic, Program Trading and Single Stock. We process desk facilitations, assist with allocation activity, manage a set of T0 controls, liaise with the control functions to resolve trading exceptions, and work across the organization to answer queries regarding trade discrepancies that originate from the systems and clients we support. We also handle configuration / setup of commissions / fees / static data. The team lends supports to International trading from an allocation / booking / FX perspective.

Your experience and skills:

You have:

  • 1-3 years of similar experience

  • Bachelor's degree in Finance or similar field

– strong product knowledge including rollout and integration, accompanied with a strong lean mentality

– a proven risk assessment and management skill set, fostering a zero tolerance policy for poor integrity and risk taking

– a clear communication style

– escalation awareness

You are:

– a strong front-to-back ownership mentality

– multi-tasking skills and the ability to prioritize amidst competing / conflicting priorities

– excellent analytical/problem solving skills and a sense of urgency regarding responsibilities

You are:

– able to take ownership of the design and operating effectiveness of key controls and processes

– on top of industry and market driven initiatives to understand risks and impacts

– a good partner, collaborating across functions to deliver strategic projects and change

– responsible and accountable for delivery of key objectives within your immediate team and the broader Middle Office function

About us:

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?

Your colleagues:

Job Reference #: 176614BR

Business Divisions: Corporate Center

Title: Securities Middle Office Trade Support Analyst

City: New York

Job Type: Full Time

Country / State: United States - New York

Function Category: Operations