UBS Financial Services Trade & Processing Specialist in Weehawken, New Jersey
Do you enjoy managing various processes to ensure regulatory compliance? Do you have strong Microsoft Excel experience? We are looking for someone to join our Broker Dealer OPS team to do the following responsibilities:
Ensure adequate process and supervisory controls over various processes are operating appropriately to accomplish compliance with US broker-dealer rules and regulations.
Conduct periodic (monthly, quarterly, annual) assessments of processes within the US broker-dealer to ensure compliance with regulatory requirements.
Partner with Compliance to review emerging regulatory items, implement any required changes, and set future assessment schedules.
Provide gap analysis, as required, to identify and close potential regulatory process supervisory control gaps.
Act as lead regarding emerging regulatory items impacting Operations and assist in supervisory control framework development.
Communicate with, and educate, Operations staff regarding regulatory obligations (direct and indirect) and responsibilities.
Liaise with various examiners and auditors.
The individual will assist in the review of the following regulatory processes; Customer Protection (SEC Rule 15c3-3), Regulatory Fee processing, Market Maker Trailer code compliance, Prospectus Delivery controls, FOCUS reporting process, MIS reporting / Governance processes Customer Trade Confirmations, FINRA INSITE review, Medallion Stamps, Quarterly Securities Counts, Customer Statements, Trade Reporting (Bluesheets).
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.
The individual will assist in the supervision of regulatory controls. This individual will directly interact with onshore/offshore resources, as well as support the US Institutional Broker-Dealer from an operations regulatory perspective. The individual will work collaboratively with key stakeholders within Operations, Finance, and Compliance to manage regulatory risk.
Broker Dealer OPS identifies the regulatory requirements applicable to Operations functions to ensure stakeholders have a complete understanding of regulatory obligations, and validate procedures / processes are sufficient to accomplish compliance with those requirements. Broker Dealer OPS function is responsible for providing senior Operations management and internal stakeholders with analysis and assessment results of the Regulatory process and control framework across all Operation's functions
Your experience and skills:
4 year College Degree preferred with emphasis on Finance / Accounting
High end proficiency with Excel.
Standard proficiency with Word, PowerPoint.
- Strong Organizational and Communication Skills.
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 #: 170891BR
Business Divisions: Corporate Center
Title: Trade & Processing Specialist
Job Type: Full Time
Country / State: United States - New Jersey
Function Category: Operations