UBS Financial Services is seeking an experienced transactional and securities attorney to support the Investment Banking, Trading and Retail Brokerage operations of its SEC and FINRA registered subsidiary, UBS Financial Services Incorporated of Puerto Rico, as well as its affiliate, UBS Trust Company of Puerto Rico. The position will be based in San Juan, Puerto Rico and will be required to travel to New York on an as-needed basis. Responsibilities shall include:
• Providing legal counsel and transactional advice principally to the Investment Banking, Trust, Retirement and Consulting Services operations;
• Providing legal counsel on regulatory risk, including ERISA regulatory issues;
• Participating in the firm’s New Business Initiatives and New Products Committees;
• Working with bankers and capital markets personnel and outside counsel in conducting issuer due diligence, preparation of transaction documents, including engagement letters, underwriting agreements and offering documents;
• Counseling business unit on municipal and over-the-counter (Puerto Rico securities) trading issues;
• Updating business executives and other members of the Puerto Rico Legal and Compliance team on legislative and SEC changes and initiatives;
• Significant interaction with senior management and with other corporate functions, including Compliance, Risk and Internal Audit
• Drafting and maintenance of policies and procedures for the applicable business units.
• ’33 Act and ’34 Act experience and significant transactional experience;
• At least six years at a major law firm or investment firm, working with investment banking and capital markets department;
• Experience with underwriting of municipal securities;
• Experience on broker-dealer issues related to the distribution of various retail products;
• ERISA experience related to employee benefit plans preferred;
• Strong writing and communication skills;
• Ability to interact regularly with senior management;
• Self-starter, able to work and advance projects independently and on tight schedules.
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.
UBS - 19 months ago
We draw on our 150-year heritage to serve private, institutional and corporate clients worldwide, as well as retail clients in Switzerland....