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MUFG Union Bank UBIS Operations Generalist - UnionBanc Investment Services in Glendale, California


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.

Job Summary:

Part of a centralized operations team, the Operational Generalist is responsible for processing home office business and coordinating middle office processing; and serves as a liaison between sales associates, the clearing firm, business partners, internal departments, financial institutions, and other applicable entities to ensure that the business and processes for brokerage operations are performed in accordance with UBIS and MUFG Union Bank operating guidelines. Responsible for establishing and maintaining all accounts on various source system. The accounts are of various types/entities each with their specific registration and legal document requirements, i.e., individual, joint, trust, corporation, estate, pension/profit sharing trust, custodian, sole proprietor, non-incorporated associations.

Major Responsibilities:

Working in a fast paced, team-oriented environment, the Operations Generalist focuses on processing business, providing general operations support, and ensuring continuity of business functions.

90% Operations –

  • Using proprietary and third party software applications, the Operations Generalist processes various operations duties including, reviewing and processing documentation to establish new accounts, performing general account maintenance requests (reviewing documentation to determine completeness and requirements are met), reviewing and monitoring various daily reports, providing additional and special support for Institutional account and Investment Advisory accounts on specialty systems, and communicating with internal clients in order to assist and provide quality customer service to the end client.

10% - Risk Management.

  • Responsible for performing all assigned functions in accordance rules and regulations, and/or policies and procedures, established by the FINRA, SEC, OCC, MUFG Union Bank, UBIS Compliance Department, and other applicable guidelines.


Knowledge, Skills, Abilities:

  • The Operations Generalist will interact with many groups (Clients, internal operation units, bank operations, clearing firm and external financial institutions), and are required to effectively represent UBIS to clients and business partners.

  • Operations Generalists may be expected to work overtime as necessary with minimal notice to complete the day's work.

  • Generalists are expected to be key contributors to a positive workplace environment and have a strong commitment to teamwork and shared success.

  • Generalists are expected to own their professional development plan and acquire additional skills that ensure continued growth and effective contributions to the organization:

  • Ability to work in a fast-paced, team environment.

  • Strong written, and interpersonal communication skills.

  • Exceptional customer service skills. Problem solving/analytical skills.

  • Time management & multi-tasking) skills.

  • Strong solution-oriented mind-set. Knowledge of Microsoft Office (Word, Excel, Outlook). Flexibility/Adaptability to an ever-changing work environment.

Project experience is a plus. Education, Experience (and type of work experience):

  • 5-7 years Brokerage Operations experience highly preferred.

  • Current or prior problem resolution experience preferred.

  • Customer Service experience preferred.

  • Financial industry experience required.

  • Project management a plus

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 in employment decisions on the basis of any protected category.

A conviction is not an absolute bar to employment. Factors such as the age of the offense, evidence of rehabilitation, seriousness of violation, and job relatedness are considered in all employment decisions. Additionally, it’s the bank’s policy to only inquire into a candidate’s criminal history after an offer has been made. Federal law prohibits banks from employing individuals who have been convicted of, or received a pretrial diversion for, certain offenses.

Job: Operations

Primary Location: CALIFORNIA-Glendale

Schedule Full Time

Shift Day

Req ID: 10041178-WD