Asset Control Associate

About the job

Your role Do you Know Security operation back to front ? Are you well-Known for your ability to solve client problems? We are looking for someone like that who can - Own the day-to-day processing of all control requirements related to proper possession or control of client assets, on behalf of UBS Financial Services, and all associated controls related to various other operational responsibilities. Manage risk associated with SEC rule 15c3-3 adherence in order to preserve the firm’s reputation and maintain top level client service. This includes, but is not limited to, identification of firm deficit causes and the timely completion of filings with FINRA related to said deficits. Collaborate with fellow Operations teams (Settlements, Middle Office, ACATs, Corporate Actions, etc.) to accomplish goals and ensure timely resolution of open items. Provide prompt and accurate responses to appropriate requests from Client Branches and other operations teams. Able to identify issues and escalate to the right stakeholders in timely manner to avoid any financial or firm risk. Participate in team meetings to share best practices and volume trends. Maintain up-to-date knowledge of regulatory requirements and industry best practices. Ensure SOPs are up to date and reviewed on an ongoing basis.

Requirements

• Security operation
• client problem-solving
• control requirements
• risk management
• regulatory knowledge

Qualifications

• Bachelor’s degree in finance, Business Administration, or a related field

Preferred Technologies

• Security operation
• client problem-solving
• control requirements
• risk management
• regulatory knowledge

About the company

UBS is a leading and truly global wealth manager and the leading universal bank in Switzerland. We also provide diversified asset management solutions and focused investment banking capabilities. Headquartered in Zurich, Switzerland, UBS is present in more than 50 markets around the globe.