Fixed Income eCommerce Client Transition

UBS is a leading global financial services firm. Our Investment Bank is one of the world's top global investment banking and securities firms, providing a full spectrum of products to institutional and corporate clients, intermediaries, government and hedge funds worldwide. By combining your talent and our strengths, we can acheive great results.

UBS Investment Bank is seeking a Client Transition Associate Director / Director to design and then manage our client introduction process for ecommerce across Fixed Income, covering both domestic and international client accounts. The position will be located in Stamford.

This is a front office / client-facing role. In many cases you will be the first exposure of the client to UBS processes. This is the start of the Client Experience.

Responsibilities will include but are not limited to:
- Working with the existing Operations group to examine the End to End process in detail and propose changes towards an ideal workflow for a global business
- Help guide Operations through Client fulfillment and priority task.
- Working with Client Connectivity Programme Management to convert this workflow into a systems request that will be handed to IT.
- Working with Sales to managing the process from when initial contact is made with a new client to when the clients account starts transacting with the sales/trading team. This will include detailed stakeholder management with all parts of the bank to include Legal and Compliance.
- Working with the IB Client Onboarding Team to leverage Best practise.
- Working with the existing Operations group to update the relevant Trading systems including in-house UBS systems, Bloomberg, Market Access, BondVision and Tradeweb.
- Collecting all relevant information and managing the account opening process and workflow for new clients in conjunction with the IB Client Onboarding Team. This will include, amongst other control responsibilities, checking external data sources, obtaining reliance letters and the scanning of these documents
- Performing verification checks that all documents submitted with a new client request meet the agreed process requirements with an appropriate audit trail.
- Resolving Political Exposed Person issues and exceptions process when identified
- Resolving any issues arising from the vetting and credit processes in a professional and efficient manner, escalating promptly when necessary
- Maintain client Pipeline
- Establish some regular review process for contacting clients to ensure feedback on the performance of the groups is obtained.
- Perform Due Diligence Reviews with Core Client Data Services.
- Utilising Docstore database of all information & scanned documents.
- Develop deep working knowledge of Client Introduction Policy ( CIP)
- Interact with IB RKYC programme
- Producing regular flash reports on the status of the transition process for new clients, including service level comments on outstanding clients not yet fulfilled
- To operate as part of cross-product team and help support all functions in their timely execution of responsibilities
- To promote ideas for process improvement and manage their implementation
- Be first point of contact for this business stream for Client Due Diligence issues and Transition matters
- Form part of IB COO Client Onboarding forum

Basic Qualifications
Minimum of 3 years experience and a four year bachelors degree.

Preferred Qualifications
- Essential that the candidate is comfortable to network and leverage good practise
- Strong Influencer
- A general understanding of Front to Back Business Flow required
- Ability to multi-task
- Good experience of process design
- Good attitude to customer service and delivering to tight timescales, client communication skills - client orientation is key.
- People management experience
- Good understanding of constitutive documents and corporate structures is required (this may have been obtained in a previous vetting or legal role
- Working knowledge of account-opening, credit-review and related processes is required
- Knowledge of UBS client types, markets and instruments is advantageous
- Desire to be challenged and learn - Driven
- Team player

We can offer you an exciting, fast-paced working environment, a culture of mutual respect and teamwork and the opportunity to play a vital role in our growth.

If you are attracted to joining an organization where every individual's contribution counts and where your talent will impact on our future, please apply for this position. It starts with you.

UBS is an equal opportunity employer. We respect and seek to empower each individual and the diverse cultures, perspectives, skills and experiences within our workforce.