Regulatory Reporting Risk Compliance Quality Assurance - Broker Dealer

New York, Weehawken, United States - New Jersey, United States - New York, United States - Tennessee, United States - Texas, United States - Utah
$105,000 to $125,000 based on experience, education and skill level of the candidate
01 Dec 2022
15 Dec 2022
Approved employers
Approved employer
Job role
Your role
Are you investigative in nature? Are you able to spot potential exceptions and challenge them? Can you deliver against deadlines?

We are looking for candidates primarily in NY/NJ, Nashville TN, North Carolina, Florida, and Illinois, but we can accept staff to work anywhere in the U.S. remotely. We're looking for a regulatory reporting data assurance specialist to perform the following:

• conduct reviews of U.S. reporting processes to assess conformance with regulatory requirements
• perform sample-based transaction testing to assess accuracy of data used in regulatory reporting processes
• prepare written reports which summarize testing procedures conducted and resulting conclusions
• review remediation actions to assess closure of identified exceptions
• collaborate with peers in and across the second line of defense
• serve as a key point of contact to the business by providing updates on testing progress and addressing issues as they arise
• build a strong relationship with stakeholders such as business areas, financial controllers, and operations.

Your team
We are the Compliance and Operational Risk Control (C&ORC) Risk and Finance Data Assurance (R&F DA) team. R&F DA provides independent testing services to our business stakeholders as a second line of defense. As a data tester, you will play a vital role by coordinating with stakeholders to assess if data flowing from source systems to our regulatory reporting is accurate

Diversity helps us grow, together. That's why we are committed to fostering and advancing diversity, equity, and inclusion. It strengthens our business and brings value to our clients.

Your expertise
Expertise we are looking for in candidates includes but not limited to the following:
• minimum 3-5 years of relevant work experience in compliance testing or internal/external audit in financial sectors, or experience in regulatory reporting as an auditor, reviewer (quality assurance) or preparer
• understanding of U.S. regulatory reporting requirements (particularly on FOCUS reporting, SEC/FINRA reporting, 15c3-1 Net Capital, 15c3-3 Customer Reserve, etc.)
• strong analytical skills with the ability to manipulate and comprehend large data sets and explain data/concepts in a clear and concise manner, and/or experience with data management
• good communication skills to be able to adapt style to audience and conveys clear, accurate, and concise information
• ability to understand complex processes and challenge the status quo, identify risks and inadequacies in procedures
• capable to work independently, using sound judgment for when to escalate issues
• experience with Axiom, PowerBi is a plus

About us
UBS is the world's largest and 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.

With more than 70,000 employees, we have a presence in all major financial centers in more than 50 countries. Do you want to be one of us?

Salary information
New York City based roles only - The salary range in NYC for this role will be $105,000 to $125,000 based on experience, education and skill level of the candidate. The role may be eligible for discretionary annual incentive compensation.

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.

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