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 www.ubs/com/careers. 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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