Equities Research Management – Vettings Manager

Job Reference #

335648

City

New York

Job Type

Full Time

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.

• 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.

New York: the salary range for this role is $225,000 to $242,500.

The expected salary range for this role as of the date of this posting is 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

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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.

• 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 confidence to provide oversight and challenge where appropriate.
• Excellent communication and relationship management skills.

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

US Only:
The expected salary range for this role is $225,000 to $242,500 based on factors including, but not limited to, experience, qualifications, education, location, and skill level. Please see “Your role” section for detailed salary…