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UBS Financial Services 10b5-1 Product Specialist in New York, New York

10b5-1 Product Specialist

United States - New York

Product Management and Development, Sales and trading, Trading

Global Wealth Management

Job Reference #:



New York

Job Type:

Full Time

Your role:

Do you have a passion for the equities markets and helping corporate clients? As a 10b5-1 Product Specialist, your primary responsibilities are to work with Corporate Executives and their UBS advisors to advise, create, and implement their 10b5-1 Trading Plans.

You will:

• work as part of a small team with the tools and resources needed to guide our clients and advisors on how to devise a trading schedule to achieve their financial goals (such as liquidity or diversification).

• prepare and Facilitate Presentations with Financial Advisors in order to onboard prospective Clients and/or Issuers.

• act as liaison between UBS and Issuer's counsel to negotiate legal changes to our10b5-1 contract.

• review and reconcile Daily Trade Reports to ensure our client's orders are executed as designed.

• ensure our client's trades comply with all applicable securities laws such as Rule 144, 10b5-1 and 10b-18.

• report key metrics to Senior Management in Capital Markets and our internal Business Partners ( such as EPAS, BDG, and Field Management).

Your team:

The 10b5-1 Group is a dedicated team comprised of product specialists , traders and operations staff responsible for the administration, execution and settlement of the trading plans, as well as same-day reporting of transactions executed under the plans. The 10b5-1 group operates as a Home Office Branch within the IPS Capital Markets Americas division of UBS Global Wealth Management.

Your expertise:

Are you an effective communicator (written and verbal) who can interface with Financial Advisors, clients, prospects, and all levels of management?

You have:

• strong MS Office Skills – Word, Excel, Access, and PowerPoint.

• prior knowledge/understanding of Rules 144, 10b5-1, 10b-18, and Section 16

• the ability to multi-task, prioritize, problem solve, and pay close attention to details.

• ability to handle extremely sensitive information appropriately given the high profile of our clients and their need for privacy.

• a deep understanding of the markets and the ability to develop complex trading strategies to achieve specific goals

• the experience and confidence to work closely with Ultra High Net Worth Clientele and all levels of Management

• series 7 and 66 licenses (required within 60 days of hire)

About us:

Expert advice. Wealth management. Investment banking. Asset management. Retail banking in Switzerland. And all the support functions. That's what we do. And we do it for private and institutional clients as well as corporations around the world.

We are about 60,000 employees in all major financial centers, in more than 50 countries. Do you want to be one of us?

Join us:

We're a truly global, collaborative and friendly group of people. Having a diverse, inclusive and respectful workplace is important to us. And we support your career development, internal mobility and work-life balance. If this sounds interesting, apply now.

Disclaimer / Policy Statements:

UBS is an Equal Opportunity Employer. We respect and seek to empower each individual and support the diverse cultures, perspectives, skills and experiences within our workforce.