WM US Operations Restricted Securities Specialist Job at UBS, Weehawken, NJ

MjIyeU92RUROVUpod3FCcTBxclQrYWN3b2c9PQ==
  • UBS
  • Weehawken, NJ

Job Description

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
  • 3-5 years of experience in financial industries
  • knowledge of Restricted Securities
  • 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? UBS

Job Tags

Part time, Work from home, Work visa, Work alone, Flexible hours,

Similar Jobs

Canyon Ranch

Nail Technician (Full Time) Job at Canyon Ranch

 ...inspire proven, lasting impact on Canyon Ranch members as they pursue their well path. Responsibilities: Are you a passionate Nail Technician looking to elevate your career to the next level? Join our Las Vegas team. This full-time opportunity is located... 

L3Harris Technologies

Technical Writers (Apply in minutes) Job at L3Harris Technologies

 ...Facilities Management * Logistics Specialist * Network Planning Engineers * Program Finance * Program Managers * Project Engineers * Security Operations * Software Engineers * Systems Engineers * Technical Writers**Click APPLY NOW to register for this event.**

Bright Horizons

Early Childhood Lead Teacher Job at Bright Horizons

 ...time of hire.*~ CDA or higher level of education required ~ At least six months of experience working in child care, daycare, or preschool required ~ Demonstrated knowledge of developmentally appropriate practices (DAP) required Pursue your passion for early... 

Indian Chef Take Out Express

Indian Chef Take Out Express - Line Cook Job at Indian Chef Take Out Express

 ...menu. The kitchen isn't the only thing that heats upin this fast paced environment, you'll be expected to maintain poise under pressure. You'll know your prep work like the back of your hand, and your closing duties won't even bother you. Indian Chef Take Out Express

Lerman Holding CO Inc

Trucking Dispatcher Job at Lerman Holding CO Inc

Description: Primary Responsibilities: Scale trucks in and out (Keep scale free and moving) Manage traffic windows Answer phones Access and handle situations as training dictates Direct and manage incoming phone calls Print bills for loaded trucks...