WM US Operations Restricted Securities Specialist

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

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?

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.