UBS Financial Services Broker Dealer Regulatory Operations Specialist in Stamford, Connecticut
Member of a critical team within Operations responsible for ensuring Compliance with rules governing a Broker Dealer. This role is designed to ensure proactive measures are taken to identify and remediate any regulatory control gaps. The role requires a highly motivated individual who has great attention to detail. Someone who has proven problem solving skills, operational experience and is able to identify process and control deficiencies and make recommendations for improvements. Strong communication, collaboration and teamwork skills are required to ensure optimal cross functional impact. We’re looking for someone like that who can:
– Use their product and front-to-back process knowledge to work across multiple Operations functions to design and implement a regulatory control framework.
– Utilize their experience of rule 15c3-3 and play a key role in ensuring compliance with Possession or Control requirements for UBS Securities LLC
– Understand risks and apply this knowledge to risk assessments
– Support new or emerging business areas and working with Compliance identify regulatory impact
– Stay aware of current regulatory activity, understand how new, amended and proposed rule changes impact Operations
– Identify and propose potential solutions for addressing control gaps
– Increase efficiencies by utilizing technology
– Work well in a team environment and be able to work independently on projects / assessments
– Must be proactive in identifying opportunities to improve processes, collaborating across functions and entities – looking for opportunities / synergies across BD Ops functions and aggressively drive improvements and adoption of best practices
– Be vocal and actively engage to solve issues, take ownership for and drive projects to successful completion.
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.
You'll be working in the Broker Dealer Operations Team. We’re responsible for coordinating audits, reviewing Operations processes to assess compliance with rules; implementing a cross functional regulatory control framework in the U.S. Working with Compliance to stay current with regulatory changes and ensuring impacted Operations teams are notified and meet the new requirements.
Your experience and skills:
– Deep technical understanding of rules governing a US Broker Dealer from an Operations perspective – e.g., 15c3-3
– Worked in a similar position before
– An understanding of what it takes to run successful projects in financial services
– Experience in an Operations environment and understand the complexities of cross functional processes
– Broad Operations knowledge
– Strong communication skills
– The ability to work well in a team as well as an individual contributor
– a great communicator, you know how to speak with people at all levels
– self-motivated / driven – willing to take ownership of an issue and drive to closure
– an expert at building networks and connections
– a team player
– known for hitting deadlines
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?
Job Reference #: 170890BR
Business Divisions: Corporate Center
Title: Broker Dealer Regulatory Operations Specialist
Job Type: Full Time
Country / State: United States - Connecticut
Function Category: Operations