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UBIS Field Operations Specialist

Company: Union Bank
Location: Glendale
Posted on: November 23, 2022

Job Description:

Are you passionate about creating an exceptional client experience?


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 potential.


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.


Job Summary:


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.


Major Responsibilities:


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 Operations Support.

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.


Job Requirements:


Requires exceptionally strong organizational, communication, and customer service skills.

Must be able to multi-task in a fast-paced environment with time-sensitive responsibilities.

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 organization.


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.


#LI-Hybrid

Keywords: Union Bank, Glendale , UBIS Field Operations Specialist, Other , Glendale, Arizona

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