Do you have experience of working directly with Investment Banking Front Office, Middle Office, Operations (Equity and Fixed Income) and Finance business partners. Do you promote the highest standard of culture/conduct by identifying and analysing issues?

We're looking for someone like this who can:

•Lead the centralized risk assessments and balance sheet reviews and attestation.
•Drive transformation and data analytics to support the compliance of Account Ownership policy and addresses associated risks
•Remediate issues and improves the control landscape for balance sheet substantiation globally within Securities Operations
•Lead Global Balance Sheet Oversight and Substantiation for Securities Operations
•Supervise key US Regulatory processes inclusive and not limited to TAF, 15a6, 10b10 and, Prospectus
•Manage the response to both internal and external Auditors and Regulators inquiries and exams; owns the outcome and remediation as it pertains to Securities Operations
•Provide oversight for 15c3-3 feeds to Finance on behalf of Securities Operations
•Design and implements entity oversight controls for UBS SEC LLC Securities Operations across global markets
•Drive transformation across the global / cross-border infrastructure for Securities Operations
•Oversee KPCI testing and assessments for Americas Securities Operations

Detailed salary information:
• New York: the salary range for this role is $130000 to $173000
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 #

324499BR

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 primarily responsible for partnering with the business across the Investment Bank’s Front to Back Operations and Finance in the Americas and EMEA.
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

•15+ 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.
•Series 99 required, Series 27 to be obtained
•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 and execute and delegate in a complex and multi-level stakeholder environment

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 $130000 to $173000 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.