UBS Business Solutions US LLC is seeking a Director, Structured Products Lawyer, Investment Bank to handle legal aspects of structured notes and warrants offerings, including drafting, reviewing, and negotiating various agreements, and advising on regulatory compliance.
Requirements
- OTC derivative transactions and ISDA documentation; negotiating agreements relating to equity derivatives businesses
- Swiss Financial Services Act; interpreting relevant laws, rules and regulations
- ability to interpret policies, procedures and guidelines; working on cross-border financial transactions including those governed by foreign laws
- articulating and explaining complex legal issues and procedures to a wide range of people, including those without a legal background, in a succinct manner
- identifying and escalating sensitive matters within a large global organization
Responsibilities
- Draft and review preliminary and final pricing supplements, product supplements and other prospectus supplements, including the equivalent documentation for exempt offerings, with a focus on product and material risk disclosure in conjunction with SEC-registered and exempt offerings of structured notes and warrants.
- Draft, review and negotiate distribution agreements, introducing broker agreements and investor representation and investment advisor (RIA) representation letters for UBS’ SEC registered and exempt (Regulation S, Rule 144A, 4(a)(2)) offerings of structured notes and warrants.
- Advise on cross-border regulatory requirements in conjunction with Reg S offerings into foreign jurisdictions.
- Draft and review marketing material for UBS' SEC-registered and exempt offerings of structured notes and warrants and advise on compliance with 33 Act disclosure matters, Section 5 of the 33 Act, communication exemptions, FINRA communication and disclosure rules that apply to broker- dealers.
- Draft and review trading agreements, master confirmation agreements and other transaction confirmations under industry master agreements in connection with OTC derivative transactions.
Other
- This position requires a Master's degree in law or foreign equivalent plus four (4) years of experience in the job offered or as a Legal Counsel, Lawyer, or related occupation.
- Can work hybrid (In-office/remote).
- Qualified Applicants apply through SH-ProfRecruitingcc@ubs.com. Please reference 003117. NO CALLS PLEASE. EEOE/M/F/D/V. LI-DNI
- This notice is being posted in connection with an application for permanent Alien Labor Certification.
- We are open to applications from career returners.
