UBIS Operations Generalist - UnionBanc Investment Services

Company: MUFG Union Bank
Location: Glendale
Posted on: February 22, 2021

Job Description:

MUFG is committed to the safety and well-being of our colleagues, clients, candidates, and the community as we manage the current COVID-19 pandemic. During this time, as we continue to recruit and hire exceptional talent to join our team, we are taking the necessary precautions to limit in-person contact, aligned with Federal, State, and local health recommendations and requirements. All interviews are being conducted remotely via Skype, FaceTime, or phone. Additionally, we have implemented remote on-boarding for new colleagues, as appropriate. Thank you for your interest in exploring career opportunities with MUFG. UnionBanc Investment Services, a wholly owned subsidiary of Union Bank, is a trusted and highly respected broker-dealer and investment advisor that has helped clients reach their investment goals for more than three decades. We offer a comprehensive selection of competitive investment services and products to assist our clients with their financial goals. Our team of talented professionals embodies the ingenuity, exceptional attitude, and passion for exemplary client service that drives our success. We respect diverse backgrounds, talents, and skills and place an emphasis on the value each individual brings to the equation. A consistent business philosophy, a well-defined and actionable strategic plan, and an inspired vision for the future are what make us unique. Be part of an environment where you can do what you love, excel at what you do, realize the rewards, and take pride in your achievements. Job Summary: Part of a centralized operations team, the Operational Generalist is responsible for processing home office business and coordinating middle office processing; and serves as a liaison between sales associates, the clearing firm, business partners, internal departments, financial institutions, and other applicable entities to ensure that the business and processes for brokerage operations are performed in accordance with UBIS and MUFG Union Bank operating guidelines. Major Responsibilities: Working in a fast paced, team-oriented environment, the Operations Generalist focuses on processing business, providing general operations support, and ensuring continuity of business functions. 90% Operations -

• Using proprietary and third party software applications, the Operations Generalist processes various operations transactions including, document imaging (work-item classification /indexing), new accounts (processing documentation to establish new accounts), maintenance items (performing general account maintenance administration requests), cashiering (receiving and external/internal transfers, processing deposit / disbursement), direct business support/processing (processing documents for new, additional business transactions and ongoing support for investments held with business partners), Institutional Sales support (perform general support including trade reporting / monitoring /settlement / surveillance) and investment advisory account processing /support (establishing new account, service request.
• Responsible for performing all assigned functions in accordance rules and regulations, and/or policies and procedures, established by the FINRA, SEC, OCC, MUFG Union Bank, UBIS Compliance Department, and other applicable guidelines. Knowledge, Skills, Abilities:
  • The Operations Generalist will interact with many groups (Clients, internal operation units, bank operations, clearing firm and external financial institutions), and are required to effectively represent UBIS to clients and business partners.
  • Operations Generalists may be expected to work overtime as necessary with minimal notice to complete the day's work.
  • Generalists are expected to be key contributors to a positive workplace environment and have a strong commitment to teamwork and shared success.
  • Generalists are expected to own their professional development plan and acquire additional skills that ensure continued growth and effective contributions to the organization:
  • Ability to work in a fast-paced, team environment.
  • Strong written, and interpersonal communication skills.
  • Exceptional customer service skills. Problem solving/analytical skills.
  • Strong solution-oriented mind-set. Knowledge of Microsoft Office (Word, Excel, Outlook). Flexibility/Adaptability to an ever-changing work environment. Project experience is a plus. Education, Experience (and type of work experience):
    • 5-7 years Brokerage Operations experience highly preferred.
    • Current or prior problem resolution experience preferred.
    • Customer Service experience preferred. Financial industry experience required. Project management a plus The above statements are intended to describe the general nature and level of work being performed. They are not intended to be construed as an exhaustive list of all responsibilities, duties, and skills required of personnel so classified. We are proud to be an Equal Opportunity / Affirmative Action Employer and committed to leveraging the diverse backgrounds, perspectives, and experience of our workforce to create opportunities for our colleagues and our business. We do not discriminate in employment decisions on the basis of any protected category. A conviction is not an absolute bar to employment. Factors such as the age of the offense, evidence of rehabilitation, seriousness of violation, and job relatedness are considered in all employment decisions. Additionally, it's the bank's policy to only inquire into a candidate's criminal history after an offer has been made. Federal law prohibits banks from employing individuals who have been convicted of, or received a pretrial diversion for, certain offenses. We are committed to ensuring that our online application process provides an equal employment opportunity to all applicants, including individuals with disabilities. If you are an applicant with a disability, or are assisting an applicant with a disability, and require accessibility assistance or an accommodation to apply for one of our jobs, please submit a request by telephone at 1-866-275-4717 or email us at AskHR@us.mufg.jp . Include your contact information and specific details about your requested accommodation. We are proud to be an Equal Opportunity/Affirmative Action Employer and committed to leveraging the diverse backgrounds, perspectives and experience of our workforce to create opportunities for our colleagues and our business. We do not discriminate in employment decisions on the basis of any protected category.

Keywords: MUFG Union Bank, Glendale , UBIS Operations Generalist - UnionBanc Investment Services, Other , Glendale, Arizona