Executive Director, Broker Dealer Reporting Specialist

Nashville, United States - Tennessee
Competitive salary
20 Mar 2023
19 Apr 2023
Approved employers
Approved employer
Job role
Finance director
Experience level
Your role
Can you maintain independence and objectivity, as well as build relationships and influence outcomes? We are looking for someone like that to:

• supervise the preparation and submission of customer reserve (15c3-3) , net capital (15c3-1) computations, daily Futures Commission Merchants (FCM) filings , FOCUS Reports, and other regulatory filings
• oversee the monthly close process for the U.S. broker dealer and preparation of the midyear and year end audited financial statements
• ensure we are in continuous compliance with regulatory rules and regulations in daily, weekly, monthly, and quarterly reporting
• analyze results of regulatory calculations and respond to internal and external regulatory related inquiries and ad-hoc analyses
• supervise, lead and support team members in completing their responsibilities and assist in career development of seasoned professionals
• proactively review and evaluate existing processes for efficiency and effectiveness, including identifying and implementing automation opportunities
• communicate and present regulatory / financial results to Executives and collaborate with business partners
• liaise with internal and external auditors, regulators, compliance, and internal financial responsibility compliance monitoring on a timely and accurate basis
• drive new process implementation; managing projects to implement innovative automation solutions, new business accommodations and updates to regulatory requirements
• assist with capital planning, presentations, and analysis for management

Your team
You'll be working within a regional regulatory reporting team in the Tristate and Pune, India. We're focused on financial reporting for Broker Dealer regulatory purposes. We make sure that the Broker Dealer remains compliant with the Securities and Exchange Commission regulations, look to maximize the use of capital, and work ensure that we meet the requirements of the of the Securities and Exchange Commission, along with the Commodity Futures Trading Commission (CFTC).

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
• experience in preparing and filing financial reports with FINRA
• ability to present complex topics in both written and oral presentation skills
• demonstrated experience in evaluating processes and making and implementing recommendations for improvement
• strong analytical and problem-solving skills
• strict attention to detail, able to prioritize tasks under tight deadlines, demonstrate risk awareness and escalate when appropriate
• teamwork/collaboration-oriented with the ability to work independently
• proven leadership and relationship building skills
• high proficiency in Microsoft Excel, Word, and PowerPoint


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?

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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