WM US Operations Restricted Securities Specialist
Weehawken, New Jersey
Employer: UBS
Industry: Operations
Salary: Competitive
Job type: Full-Time
Your role
As a Restricted Securities Specialist, you will be responsible for assisting branches in selling restricted/control securities pursuant to SEC regulations and insider trading rules.
• review documents and approve sales request pursuant to rule 144,145,701 Prospectus Sale and Verbal Approval
• contact company's counsel to obtain legal opinion
• work with branches globally on legend removal requests
• collaborate across functions to get results
• review daily reports and take necessary action
• prepare reports for management
• Edgar 144 electronic filing
Your team
The Restricted Sales team is charge with performing due diligence, reviewing documents needed to removed legend on restricted stock and making regulatory filing as needed. Transactions tend to be high dollar and/or large share quantiles and it is imperative that we provide an excellent client experience.
Your expertise
• experience in financial industries, 5 years
• held similar Restricted Sales role, ideally 3-5 years experience
• knowledge of the Brokerage and/or Custody industry
• effective communication skills, dealing with company's counsel and transfer agents
• ability to multitask in a demanding environment
• collaborator, collaborate with internal/external partners
• experience working with - Word/Excel/PowerPoint
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 embrace flexible ways of working when the role permits. We offer different working arrangements like part-time, job-sharing and hybrid (office and home) working. Our purpose-led culture and global infrastructure help us connect, collaborate, and work together in agile ways to meet all our business needs.
From gaining new experiences in different roles to acquiring fresh knowledge and skills, we know that great work is never done alone. We know that it's our people, with their unique backgrounds, skills, experience levels and interests, who drive our ongoing success. Together we're more than ourselves. Ready to be part of #teamUBS and make an impact?
As a Restricted Securities Specialist, you will be responsible for assisting branches in selling restricted/control securities pursuant to SEC regulations and insider trading rules.
• review documents and approve sales request pursuant to rule 144,145,701 Prospectus Sale and Verbal Approval
• contact company's counsel to obtain legal opinion
• work with branches globally on legend removal requests
• collaborate across functions to get results
• review daily reports and take necessary action
• prepare reports for management
• Edgar 144 electronic filing
Your team
The Restricted Sales team is charge with performing due diligence, reviewing documents needed to removed legend on restricted stock and making regulatory filing as needed. Transactions tend to be high dollar and/or large share quantiles and it is imperative that we provide an excellent client experience.
Your expertise
• experience in financial industries, 5 years
• held similar Restricted Sales role, ideally 3-5 years experience
• knowledge of the Brokerage and/or Custody industry
• effective communication skills, dealing with company's counsel and transfer agents
• ability to multitask in a demanding environment
• collaborator, collaborate with internal/external partners
• experience working with - Word/Excel/PowerPoint
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 embrace flexible ways of working when the role permits. We offer different working arrangements like part-time, job-sharing and hybrid (office and home) working. Our purpose-led culture and global infrastructure help us connect, collaborate, and work together in agile ways to meet all our business needs.
From gaining new experiences in different roles to acquiring fresh knowledge and skills, we know that great work is never done alone. We know that it's our people, with their unique backgrounds, skills, experience levels and interests, who drive our ongoing success. Together we're more than ourselves. Ready to be part of #teamUBS and make an impact?
Created: 2024-08-30
Reference: 295985BR
Country: United States
State: New Jersey
City: Weehawken