Would you like to help us enhance our client experience, now and for the future? Are you client orientated with high risk awareness?

We are looking for a Securities Specialist to:

•support the Domestic Settlements and Asset Control teams
•put clients first. Build a high level of trust and partnership with our clients.
•understand the needs of both internal and external stakeholders
•ensure compliance with key regulatory requirements pertaining to trade settlement, as defined by Reg SHO, MSRB G-12, and 15c3-3
•lead group of staff responsible for timely trade settlement, resolution of failed trades, and management of risk associated with buy-ins
•participate in day-to-day Possession or Control responsibilities across operations: identifying and managing firm deficits, filing and tracking FINRA extensions, and managing other risks across Ops teams
•execute the processes and controls you are responsible for in a timely, accurate and compete manner
•interact with client facing colleagues in a manner which provides necessary details to educate and reduce risk

Job Reference #

316246BR

City

Nashville

Job Type

Full Time

Your team

You'll be a part of the Domestic Settlements and Asset Control teams based in Nashville and Weehawken.
This team is responsible for settlement of trades in the domestic market and managing risk which come along with potential failure of said trades. Liaise consistently with other operational teams in conjunction with client-facing colleagues.
This team also ensures the firm is in proper possession or control of client assets, identifies situations in which the firm is in deficit, tracks said deficits and files necessary extensions with FINRA, and liaises with other operational teams, branch partners, etc to manage such risks. UBS also utilizes offshore service providers.

Diversity helps us grow, together. That’s why we are committed to fostering and advancing diversity, equity, and inclusion. It strengthens our business and brings value to our clients.

Your expertise

•ability to multitask and work under pressure while prioritizing issues according to risk
•ability to work independently within a highly regulated environment.
•knowledge of the finance industry and financial products
•knowledge of broker/dealer operations concepts such as Stock Record, Seg, and Trade Lifecycle.
•ability to communicate effectively with colleagues in the Front Office, Middle Office, and with external counterparts and clients.
•fast learner and adaptable to change

About us

UBS is the world’s largest and the only truly global wealth manager. We operate through four business divisions: Global Wealth Management, Personal & Corporate Banking, Asset Management and the Investment Bank. Our global reach and the breadth of our expertise set us apart from our competitors..

We have a presence in all major financial centers in more than 50 countries.

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. 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.

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.