UBS Financial Services Registered Principal in Weehawken, New Jersey
Do you have experience in Financial Services? Are you ready to ensure our firm delivers compliant, commercial, high-quality communication materials?
We are looking for an experienced, senior qualified person to join our organization and deliver the following:
• Review and analyze internal and external communications to make sure it is consistent with Firm standards and internal requirements
• Keep vendor sales literature, Financial Advisor-created pieces and UBS product area materials in line with regulatory requirements
• Support our business working closely with Branch supervisors, Product Managers, Marketing partners, and Legal and Compliance functions.
• Knowledge of business growth and transition a plus
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 Principal Review Group in Weehawken, NJ. We are partnering with Product, Compliance, and Legal departments to review various types of marketing collateral. We make sure that the content falls within firm and regulatory guidelines.
• At least 5 years of experience in communications and marketing in financial industry
• Advanced interpersonal communications and presentation skills
• Knowledge of FINRA and SEC Rules and regulations regarding all retail marketing communication internal
• FINRA Series 24 license
• Bachelor's degree
• a superior communicator, comfortable using a variety of channels
• able to take the responsibility for registered principal review of marketing and advertising materials
• commercial acumen and ability to balance growth mindset while ensuring approval parameters are met
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 #: 179575BR
Business Divisions: Global Wealth Management
Title: Registered Principal
Job Type: Full Time
Country / State: United States - New Jersey
Function Category: Risk