Equities Research Management - Vettings Manager

Your role We are seeking a Research Management professional to join our Americas platform, with a strong understanding of the U.S. regulatory framework governing interactions between Equity Research and Investment Banking. This role plays a critical part in ensuring effective collaboration across divisions while maintaining the highest standards of independence, governance, and regulatory compliance. The successful candidate will bring experience in Equity Research Compliance or Equity Research (as an Analyst, Associate, or Supervisory Analyst), along with a solid understanding of valuation and accounting practices across multiple sectors. Key responsibilities • oversee and manage the end to end vetting process for interactions between Research and Global Banking/ECM, including the assignment of vetting requests to appropriate Research analysts and teams • monitor and manage multiple concurrent vetting and deal related processes, providing guidance and oversight to Research teams to ensure compliance with applicable regulations and UBS policies • partner closely with the Director of Americas Research and the Deputy Director of Research, taking on significant responsibility for the oversight and coordination of ongoing processes • serve as a subject matter expert and trusted advisor to Research teams, providing direction, approvals, and regulatory guidance where required • maintain comprehensive tracking and documentation of all ongoing vettings and related activities • participate in internal committee meetings, overseeing analyst submissions and participation as appropriate • engage directly with Global Banking and ECM teams to stay informed on live transactions and upcoming activity • support Research Management by helping to identify opportunities to streamline, enhance, and optimize existing processes • assist with reporting and oversight of all Global Banking/ECM related Research activity Detailed salary information: • New York: the salary range for this role is $225000 to $242500 The expected salary range(s) for this role as of the date of this posting is/are based on factors including, but not limited to, experience, qualifications, education, location and skill level. This role may also be eligible for discretionary incentive compensation. For benefits information, please visit ubs.com/usbenefits. Your team The individual will work closely with the Director of Americas Research and Deputy Director of Research in all of these processes and have the opportunity for considerable responsibility in the oversight of multiple simultaneous processes, being a source of knowledge and guidance for Research teams as well as providing oversight and approvals where appropriate. Your expertise • strong understanding of U.S. regulatory requirements governing Research and Investment Banking interactions • prior experience in Equity Research Compliance or within Equity Research as an Analyst, Associate, or Supervisory Analyst • working knowledge of valuation methodologies and accounting principles across multiple sectors • proven ability to manage complex, high volume workflows with multiple stakeholders • strong judgment, attention to detail, and the confidence to provide oversight and challenge where appropriate • excellent communication and relationship management skills About us UBS is a leading and truly global wealth manager and the leading universal bank in Switzerland. We also provide diversified asset management solutions and focused investment banking capabilities. Headquartered in Zurich, Switzerland, UBS is present in more than 50 markets around the globe. We know that great work is never done alone. That's why we place collaboration at the heart of everything we do. Because together, we're more than ourselves. Want to find out more? Visit ubs.com/careers. Join us At UBS, we know that it's our people, with their diverse skills, experiences and backgrounds, who drive our ongoing success. We're dedicated to our craft and passionate about putting our people first, with new challenges, a supportive team, opportunities to grow and flexible working options when possible. Our inclusive culture brings out the best in our employees, wherever they are on their career journey. And we use artificial intelligence (AI) to work smarter and more efficiently. We also recognize that great work is never done alone. That's why collaboration is at the heart of everything we do. Because together, we're more than ourselves. We're committed to disability inclusion and if you need reasonable accommodation/adjustments throughout our recruitment process, you can always contact us.

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