WM US Operations Broker Dealer Operations Specialist - Military Veterans
at UBS Financial Services, Inc.
Do you advocate for the importance of mitigating Operations risk? Do you have experience identifying the regulatory requirements applicable to Operations functions? Are you the type of person that ensures stakeholders have a complete understanding of regulatory obligations, and validate that procedures / processes are sufficient to accomplish compliance with those requirements? Do you know how to solve problems and can multi-task effectively?
We are looking for a Broker Dealer Operations Authorized Officer to provide Senior Operations Management and internal stakeholders with analysis and assessment results of the Regulatory process and control framework across all Operations’ functions. The Authorized Officer will be responsible for:
• Ensuring Global Wealth Management Operations is operating appropriately to accomplish compliance with US broker-dealer rules and regulations.
• Conducting periodic (monthly, quarterly, annual) assessments of processes within the US broker-dealer to ensure compliance with regulatory requirements.
• Coordinating regulatory / audit inquiries of Operations. Liaise with auditors and provide responses to requests.
• Assessing various processes to ensure regulatory compliance, including oversight of the 15c3-3 Reserve Formula deposit.
• Acting as lead regarding emerging regulatory items impacting Operations. Partner with Compliance to review emerging regulatory items, implement any required changes, assist in supervisory control framework development, and set future assessment schedules.
• Providing gap analysis, as required, to identify and close potential regulatory process supervisory control gaps.
• Communicating with, and educating Operations staff regarding regulatory obligations (direct and indirect) and responsibilities.
• Assisting in the review of the following regulatory processes; Customer Protection (SEC Rule 15c3-3), FOCUS reporting process, Medallion Stamps, Series 99 registrations, Quarterly Securities Counts.
Weehawken, NJ
At UBS Financial Services, we appreciate our veterans and are committed to providing opportunities in Financial Services. That‘s why we‘re interested in meeting talented individuals like you for our customized post-military programs!
Veterans Associate Program (VAP):
- 22-Week Internship in-person NYC/NJ (Application window is now closed)
- Provide tailored training, development, networking and mentoring opportunities for degreed transitioning veterans
- Divisionally aligned rotations across Global Wealth Management, the Investment Bank and Asset Management
- Key hiring areas: Global Wealth Management, Investment Banking, Asset Management
Enlisted Veterans Apprenticeship Program (EVAP):
- Provide tailored training and development for transitioning veterans pursuing their degree
- Full time apprenticeship across Wealth Advice Center and Group Functions
- Key hiring areas: Wealth Advice Center, Risk, Compliance, Wealth Management Operations, Investment Bank Operations and Corporate Functions opportunities.
Military Spouse Program
- Provide hybrid and remote full-time opportunities to the spouses of active-duty service members
- Tailored training and development for military spouses
- Opportunities across all business divisions
From gaining new experiences in different roles to acquiring fresh knowledge and skills – at UBS we believe that you should never stop growing and learning because life never stops teaching. We know that it's our people – with their unique backgrounds, skills, experience levels and interests – who drive our ongoing success. Ready to be part of #teamUBS and make an impact? Apply today!