Job Description
Your role
Process daily ACAT (Deliver and Receive) transfers ensuring completeness and accuracy of the reports
Process rejects which did not transition smoothly due to mismatches between contra firm and UBS within the market deadlines
Provide support to new FAs coming over via new recruits function, ensuring their client account come over correctly
Provide prompt and accurate responses to systemic requests from Client Branches and email inquiries for broker dealer firms
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 on-going basis.
Job Type
Full Time
Job Reference #
Process daily ACAT (Deliver and Receive) transfers ensuring completeness and accuracy of the reports
Process rejects which did not transition smoothly due to mismatches between contra firm and UBS within the market deadlines
Provide support to new FAs coming over via new recruits function, ensuring their client account come over correctly
Provide prompt and accurate responses to systemic requests from Client Branches and email inquiries for broker dealer firms
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 on-going basis.
Job Type
Full Time
Job Reference #
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