Are you a problem solver? Would you like to help us enhance our stakeholder support, now and for the future?

We’re looking for a Service Delivery Specialist to:

•Work directly with Investment Banking Front Office, Middle Office, Operations (Equity and Fixed Income) and Finance business partners.
•Promote the highest standard of culture/conduct by identifying and analysing issues.
•Be an escalation contact for the team to help problem solve/assess risk on a wide range of regulatory securities operations topics.
•Provide supervisory controls for regulatory and control and risks processes including balance sheet substantiation and reconciliations.
•Perform ongoing second line of defence, risk reviews and assessments to proactively identify and mitigate operational risks.
•Deliver against existing and new regulatory, industry and internal requirements and standards.
•Self-direct, analyze and evaluate issues and opportunities; form independent judgements.
•Utilize Strong interpersonal skills; Ability to build trust and confidence of colleagues, strengthen relationships through ongoing dialogue and interactions, and collaborate well with others.
•Display highly organized business habits, manifesting in exceptional attention to detail and excellent follow-through.
•Communicate with excellent verbal and written skills.
•Identify and deliver transformation opportunities within the U.S. Regulatory Broker Dealer processes.
•Address requests from internal / external auditors and U.S. regulators.

Detailed salary information:
• New York: the salary range for this role is $95000 to $120000
The expected salary range(s) for this role as of the date of this posting is/are based on factors including, but not limited to, experience, qualifications, education, location and skill level. This role may also be eligible for discretionary incentive compensation. For benefits information, please visit ubs.com/usbenefits.

Job Reference #

324487BR

City

Nashville, New York, Raleigh

Job Type

Full Time

Your Career Comeback

We are open to applications from career returners. Find out more about our program on ubs.com/careercomeback.

Your team

You’ll be working within the Securities Operations team based in locations across the US (New York, Raleigh, Nashville) and India. You’ll be primarily responsible for partnering with business partners across the Investment Bank’s Operations in the U.S.
In Investment Bank Operations we are the experts in how the firm operates. To succeed, our team must deliver the following:

• Drive the organization forward by working with purpose and passion.
• Inspire people by leading inclusively and fostering diversity.
• Put clients first, building a high level of trust and partnership with clients.

Your expertise

•5+ years’ proven experience within securities regulatory broker dealer operations within the Compliance, Regulatory, Controls, Risk management or similar areas
•Experience of Securities Operations/Risk and Control /Regulatory required
•Experience or basic knowledge of automation tools such as vba, MS access, Alteryx, Python, or others is a plus
•Experience with Broadridge’s applications / sub ledger is preferred, although not required
•Able to manage risk, critical exposure, and escalations in a dynamic, fast paced environment
•Able to build and retain relationships with business partners across the Investment Banking Operations, with financial acumen
•Able to think creatively and logically to solve problems
•Able to execute and delegate in a complex and multi-level stakeholder environment
•Management experience (either managing projects, or teams) is expected

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.

Salary information

US Only: The expected salary range for this role is $95000 to $120000 based on factors including, but not limited to, experience, qualifications, education, location and skill level. Please see «Your role» section for detailed salary information.

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.