Business Manager - Broker Dealer Operations
UBS - New York, NY

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Broker Dealer Operations group provides oversight of functions and processes, typically regulatory in nature, related to the US Broker Dealer. With increased focus and a heightened regulatory climate a Business Manager is needed to assist with oversight of strategic programs/projects across Broker Dealer Operations.

The Business Manager will work closely with Compliance, Legal and with many of the functional organizations that comprise Broker Dealer Operations, (Regulatory Control, Equity SPG, FICC SPG, ETD, CPU and DSG).

Initiatives include (but are not limited to) the following:
Application of formal assessment methodology

Remediation tracking (issues across the BD functions)

Assist in the management of regulatory audits & exams

Legal & Compliance RFI tracking

Written Supervisory Procedures tracking and template control

SMART version control and tracking

Focus submission management Requirements
Strong organizational skills

Strong communication skills

Ability to work in a team environment

Strong analytical skills

3+ years experience or greater

Skilled in Microsoft Office applications Preferred Qualifications
Regulatory knowledge a plus

Self-starter in dealing with issues

Innovation and drive Our Offering UBS can offer you an environment geared towards performance, attractive career opportunities, and an open corporate culture that values and rewards the contribution of every individual. Take the next step Want to further your career in an organization where your contribution can make a difference? Apply now at We look forward to hearing from you. Disclaimer / Policy Statements UBS is an equal opportunity employer. We respect and seek to empower each individual and the diverse cultures, perspectives, skills and experiences within our workforce.

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We draw on our 150-year heritage to serve private, institutional and corporate clients worldwide, as well as retail clients in Switzerland....