UBS
IBO Securities Operations: Head of Americas Securities Risk
UBS, Forestville, New York, United States, 14062
Your role
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?
UBS Investment Bank Securities Operations is currently looking for Head of Securities Risk and Entity Oversight in the Americas. We're looking for someone like this who can:
•Lead Global Balance Sheet Oversight and Substantiation for IB Securities Operations -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 •Supervise key US Regulatory processes in Securities including and not limited to TAF, Prospectus, 10b10 •Manage the response to Regulatory inquires and exams and internal and external auditors; own the outcome and remediation as it pertains to Securities Operations •Provide oversight for feeds to Finance on behalf of Securities Operations as it pertains to the relevant regulations •Design and implement 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.
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. BO Americas Securities Operations is responsible for clearing, settling, recording, and balancing of securities transactions post-execution to the subledger. We're looking for an experienced, driven individual to lead and transform securities risk and entity oversight including balance sheet substantiation.
Your expertise
•15+ years' proven experience leading organizations within Securities Operations, Compliance, Regulatory, Risk Management or similar areas •Ability to interact with senior stakeholders and influence results on complex subject matters and face off with Regulators and internal and external auditors / examiners •Able to lead a team managing risk and exposure, solving problems, and executing in a dynamic, fast paced environment •Results orientated with a track record for delivering continuous improvement •Highly collaborative with strong interpersonal and communication skills, able to build relationships with business partners across the Investment Bank and Operations •Series 99 required, Series 27 preferred or to be obtained
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.
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.
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?
UBS Investment Bank Securities Operations is currently looking for Head of Securities Risk and Entity Oversight in the Americas. We're looking for someone like this who can:
•Lead Global Balance Sheet Oversight and Substantiation for IB Securities Operations -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 •Supervise key US Regulatory processes in Securities including and not limited to TAF, Prospectus, 10b10 •Manage the response to Regulatory inquires and exams and internal and external auditors; own the outcome and remediation as it pertains to Securities Operations •Provide oversight for feeds to Finance on behalf of Securities Operations as it pertains to the relevant regulations •Design and implement 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.
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. BO Americas Securities Operations is responsible for clearing, settling, recording, and balancing of securities transactions post-execution to the subledger. We're looking for an experienced, driven individual to lead and transform securities risk and entity oversight including balance sheet substantiation.
Your expertise
•15+ years' proven experience leading organizations within Securities Operations, Compliance, Regulatory, Risk Management or similar areas •Ability to interact with senior stakeholders and influence results on complex subject matters and face off with Regulators and internal and external auditors / examiners •Able to lead a team managing risk and exposure, solving problems, and executing in a dynamic, fast paced environment •Results orientated with a track record for delivering continuous improvement •Highly collaborative with strong interpersonal and communication skills, able to build relationships with business partners across the Investment Bank and Operations •Series 99 required, Series 27 preferred or to be obtained
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.
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.