Licensing and Registration Compliance Officer

2 weeks ago

New York, United States UBS Full time
Your role

Responsible for the day-to-day processing of information in relation to US regulatory requirements regarding Licensing and Registrations matters for recruits, employees and contractors including applications and licensing with various regulators, updating licenses, writing and requesting waivers for licenses from regulators, terminations, Insurance applications and licensing, state registrations, regulatory notifications, reporting and providing supporting documentation for responses to regulatory inquiries.
• You will assist the Registration Group in day-to-day operations or special regulatory compliance projects that enable you to widen your range of skills, experience, and knowledge in this area of regulatory compliance.
• You will provide guidance on registration-related matters and address questions from business contacts and Compliance colleagues, including information on form filing processes and the appropriateness of certain licenses and examinations for different job functions and activities.
• You will create and handle registration-related communications, including notifications of examination, reporting, and continuing education obligations, and the distribution of registration reports to Compliance colleagues and business contacts.
• Keep abreast of latest licensing regulatory developments. Provide regulatory advisory to the business on licensing matters.
• Perform period licensing review for the FINRA regulated individuals.
• Review processes to reduce operational risk and improve process efficiency.
• Liaising closely with key stakeholders in Compliance, the business and other control functions and timely respond to the related request.

Join us

At UBS, we embrace flexible ways of working when the role permits. We offer different working arrangements like part-time, job-sharing and hybrid (office and home) working. Our purpose-led culture and global infrastructure help us connect, collaborate, and work together in agile ways to meet all our business needs.

From gaining new experiences in different roles to acquiring fresh knowledge and skills, we know that great work is never done alone. We know that it's our people, with their unique backgrounds, skills, experience levels and interests, who drive our ongoing success. Together we're more than ourselves. Ready to be part of #teamUBS and make an impact?

Disclaimer / Policy Statements

UBS is an Equal Opportunity Employer. We respect and seek to empower each individual and support the diverse cultures, perspectives, skills and experiences within our workforce.

Your team

The Licensing Registration & Regulatory Reporting Team is part of the Regulatory Management team within the Compliance and Operational Risk Control (C&ORC). You'll be joining our LR&RR Team based in Pune. We provide advice, solutions, and execution with regards to licensing & registration requirements as per regulator requirement in Americas. The function has a cross-divisional remit covering the activities of the Investment Bank, Global Wealth Management, Global Asset Management and Group Functions Businesses.
Your experience and skills

Your expertise

You Should Have -
• Experience in: Finance, Accounting, Law, Business Administration, Risk Management or related disciplines
• Experience in the Industry and in managing people
• strong communicator and able to work and meet deadlines under pressure
• highly organized and results orientated.
• ability to challenge and drive process change.
• A self-starter, flexible, innovative and adaptive to change.
• Skilled in report running and or invoicing a plus
You are: - a great communicator, you know how to speak with people at all levels of the organization - an expert at building networks and connections - a team player - known for meeting deadlines.

About us

UBS is the world's largest and the only truly global wealth manager. We operate through four business divisions: Global Wealth Management, Personal & Corporate Banking, Asset Management and the Investment Bank. Our global reach and the breadth of our expertise set us apart from our competitors..

We have a presence in all major financial centers in more than 50 countries.

Salary information

CA, CO, WA and NY based roles: The salary range for this role is $150,000 to $190,000 based on experience, education, and skill level. This role may be eligible for discretionary incentive compensation. For benefits information: ubs.com/usbenefits.

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