UBIS Field Operations Specialist
Company: Union Bank
Posted on: November 23, 2022
Are you passionate about creating an exceptional client
Discover your opportunity with Union Bank -, a division of the
Mitsubishi UFJ Financial Group (MUFG), the 5th largest financial
group in the world. At Union Bank, we have our clients' best
interest in mind and draw on more than 160 years of experience to
understand their distinct needs to tailor our solutions. We're part
of 180,000 colleagues around the globe striving to be the world's
most trusted financial group, knowing that trust starts with a
culture of putting people first and empowering you to achieve your
Join Union Bank, where being inspired is expected and creating
results is rewarded.
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.
This is a hybrid position. The selected colleague will work at an
MUFG office an average of two to three days per week with the
remainder worked remotely.
Reporting to Principal Review Dept. Manager, the Field Operations
Support Specialist is responsible for the review and processing of
documentation for New Accounts, Transfer of Accounts, and
Securities Cashiering. Manage and administer operational inquiries
for the UBIS Senior Financial Advisors & Financial Advisors.
Individual also supports the Office of Principal Review, Retail
Advisor Services, and Client Services in reconciling operational or
customer service issues.
40% - Act as primary contact for sales staff in resolving
operational and/or back-office problems associated with new
business. In addition, the individual would act as liaison between
Senior Financial Advisors and the centralized operations groups for
new/pending business. Assist in managing the account transfer and
stock cashiering processes, including follow-up with National
Financial Services, as directed by the Supervisor of Field
40% - Serve as initial quality control point for incoming new
account paperwork. Review documents for compliance with established
policy. Present documents to the Office of Principal Review for
approval, if in good order, or contact SFA regarding document
deficiencies if not in good order. Deliver approved account
paperwork to New Accounts Department for opening, and when
necessary, serve as liaison between SFA and New Accounts to ensure
timeliness and accuracy of the process. Ensure compliance with
rules and regulations established by the NASD, SEC, OCC and UBIS
management by overseeing the research process with regards to
securities transactions, customer paperwork, transaction history,
etc. as requested by the UBIS Compliance Department. Perform other
duties as assigned.
15% - Assist in the preparation for reconciliation of various NFS
generated reports. Assist in the input of Related Party information
for BSA/AML/KYC nightly scanning. Assist department supervisors and
manager to facilitate research of client account/product issues
with other departments within UBIS, and follow-up accordingly to
ensure completion of such inquiries, particularly as it affects
current policy and procedures.
Requires exceptionally strong organizational, communication, and
customer service skills.
Must be able to multi-task in a fast-paced environment with
Requires working knowledge of Microsoft Word and Excel, or previous
experience with similar software packages.
Familiarity with National Financial back-office systems such as
FBSI & Wealthscape a plus.
Prefer 3 to 5 years of financial services experience as a Sales
Assistant, Customer Service Registered Representative, Back-office
Operations Clerk, or similar position for a broker/dealer
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 on the basis of
race, color, national origin, religion, gender expression, gender
identity, sex, age, ancestry, marital status, protected veteran and
military status, disability, medical condition, sexual orientation,
genetic information, or any other status of an individual or that
individual's associates or relatives that is protected under
applicable federal, state, or local law.
Keywords: Union Bank, Glendale , UBIS Field Operations Specialist, Other , Glendale, Arizona
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