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UBS Securities Japan Co., Ltd.

http://www.ubs.com/

# Company
UBS Gropu AG
Chairman Axel Weber
Headquarters Zürich/Basel


職種
# Banking, Financial services

AM - Client Manager (Pension)
UBS Securities Japan Co., Ltd.

Client relationship manager to support for mainly existing funds and contribute to growth of institutional accounts. (E.g., Presentation preparation and update, global communication with investment teams abroad, marketing support, and so on)
He/she should be also able to understand markets and fund business. Also should coordinate internal negotiation with Product Development/Management, documentation, legal and compliance, and operation from global standpoint. He / she should be also responsible for communication with clients.

Primary Responsibilities/Function:
- Help marketers and client managers to contact institutional clients to maintain day-to-day communications and regular reporting.
- Sometimes contact clients as a back-up. Fair knowledge in financial markets is required to appropriately communicate with clients. Capability of client communication would be also required.
- Experience in working at our target clients, e.g. banks and insurance companies are desired.

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OPS - Payments & Cash Specialist
UBS Securities Japan Co., Ltd.

- To provide JPY payment and cash management service for local & all global booking trades
- To prepare regulatory reporting
- To ensure workflows and cleared timely and escalate any risk items timely to manager
- To post necessary accounting if necessary
- To work with Singapre team for daily payment process

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WM - Location Risk Unit, Front Line Support
UBS Securities Japan Co., Ltd.

Position Summary:
As part of "first line defense", you will be responsible for the ex-post controls that ensure Wealth Management Markets' activities are in line with the Bank's standards.

Primary Responsibilities/Function:
At a high level, primary responsibilities include the following:
1. Driving the implementation of newly required controls or changes to existing controls
Under limited supervision, you will be asked to proactively implement new controls (or modify existing ones) according to global design or to comply with local requirements. This requires understanding of (i) Wealth Management (WM) business, (ii) background / reasons for the control, (iii) existing framework and processes within WM, including system infrastructure. It also requires working closely with business partners, and where appropriate seeking Head Office approval to deviate from the global control design. .

2. Performing the controls, discussing remedial action where necessary, and recording the control results
The actual control entails (i) extracting / collecting the required information; (ii) performing the control itself which could be in the form of phone playback, reviewing call reports and / or other materials. (iii) where necessary discussing with Client Advisors for remedial action, and (iv) recording the control outcome in the required level of detail.

3. Reporting the results / Analysing Trends
This entails (i) identifying trends from the data and preparing periodical reports for line manager and business partners, (ii) performing assessments such as Key Procedural Control Instance (KPCi) / Internal Control Assessment Process ( iCAP) where relevant to the Front Line Support (FLS) role.

Candidate may be asked to perform non-FLS tasks depending on situation of the entire Location Risk Unit (LRU) team.

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Compliance - Asset Management Compliance Officer
UBS Securities Japan Co., Ltd.

This role will form part of a small team responsible for the overall compliance with local regulatory requirements, and provide a comprehensive advisory, monitoring and control service to Asset Management business in Japan. He/she will also work closely with various compliance functions in group companies. He/she will reports to Local Head of Compliance & Operational Risk Control Department of the Japan Entity.
Primary Responsibilities/Function are:
- Coordinate the periodic review and update of internal policies and procedures
- Review marketing materials
- Monitor changes in regulations and group policies, and coordinate the gap analysis and implementation
- Perform regulatory monitoring and reporting
- Work closely with regional team and other functions within compliance and operational risk control area
- Coordinate various local and regional regulatory projects
- Coordinate training and ensure proper record keeping of regulatory reports and submissions

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IT Business Analyst, Asset Management
UBS Securities Japan Co., Ltd.

This role is part of a small team that delivers and maintains IT solutions to support the growing Asset Management business in Japan. The primary function is business analysis, but with involvement in all aspects of the project lifecycle including project management, technical design, test planning and execution, and release planning. As part of the global AM IT organization, there is opportunity to leverage and contribute to global applications, to better support the Japan business.

The successful candidate will be responsible for:
- Building strong relationships with business stakeholders from all departments front-to-back.
- Surveying, analyzing, and evaluating business processes, data flows, and architecture, including global systems.
- Proposing solutions, and documenting revised processes, business requirements, and functional specifications.
- Managing small projects and enhancement tasks from inception through delivery and post-project reviews.
- Working with external vendor partners for development, and contributing to quality of their delivery.
- Training the Support team, analyzing post-production issues, and proposing and owning resolutions.
- Ensuring an effective control environment, proactively identifying and raising risks and driving remediation.

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Operations Reporting Specialist (Asset Management)
UBS Securities Japan Co., Ltd.

The role-holder is responsible for specifically fund operations related to Pension funds.
- To ensure that the daily activity of operations is carried out within the parameters and guidelines stated in all relevant Company Manuals and Procedures and investment advisory law/regulations.
- To take on responsibility for improving the overall quality of staff and ensure that effective procedures exist and are followed in order to reduce the overall inherent risk associated with the operations unit.
- To work closely with other business areas (Investments, Marketing and Compliance) to ensure a high quality of operation service which leads to maximum customer satisfaction.

Ensure timely and accurate creation of daily/weekly/monthly/quarterly/annually reports for institutional clients and investment trust funds as well as support for fee calculation, subscription and redemption.
Regular duties includes preparing periodical client reports to highlight investment returns and allocation, financial statements and other regulatory requirements, besides updating fund fact sheets and assisting in reporting process enhancement.

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Client Manager (Financial Instituion Group)
UBS Securities Japan Co., Ltd.

Position Summary:
Business Developer to contribute to growth of institutional accounts, mainly financial institutions. He/ she should be also able to understand markets and fund business. Also should coordinate internal negotiation with Product Development/Management, documentation, legal and compliance, and operation from global standpoint. He/she should be also responsible for communication with clients and also cover existing mandates to maintain.

Key Responsibility:
Obtain new business and maintain existing business. Fair knowledge in financial markets is required to appropriately communicate with clients. Capability of client communication would be also required.
Experience in working at asset management company is desired.

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Operations Securities Specialist (Contractor)
UBS Securities Japan Co., Ltd.

Position Summary:This is project support role for Securities function (Settlement and Corporate Action & Income Processing) within Operations.
Primary Responsibilities/Function:
- Working closely with the business manager and project teams, he/she manages changes to and development of the business, working in partnership with global stakeholders (Group Technology, Group Corporate Services)
- Support the business initiatives, strategic planning and preparation of presentations for the business manager.
- Interact and collaborate with project teams to deliver projects

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