Full Job Description
United States – New Jersey, United States – Tennessee
Job Reference #
Do you have the know-how for analyzing financial information? Are you incredibly organized with an eye for detail?
We’re looking for someone like this to:
assist in all aspects of US Broker Dealer Reporting such as SEC 15c3-3, SEC 15c3-1, FR2004 reporting as well as TIC reporting.
liaise with compliance and audit ensuring compliance with the rule
develop a reporting framework to ensure governance around the regulatory rule set
participate in various ad hoc projects
You will be part of the the Regulatory Reporting US Broker Dealer Team. We are based in Nashville, Tri-State and Pune. Our team plays a significant role within Group Finance and the Intermediary Holding Company and the regulatory filings. The US Broker Dealer is a highly regulated entity that is audited internally and externally.
ideally 3 + years of experience in financial regulatory reporting and a background in accounting
a university degree with a strong understanding of accounting principles (preferably a CA qualification or MBA Finance from a reputed institute)
regulatory reporting experience(control execution & production) in financial services industry (preferred)
exhibit strong commitment to develop, maintain and abide by a strong control framework
Expert advice. Wealth management. Investment banking. Asset management. Retail banking in Switzerland. And all the support functions. That’s what we do. And we do it for private and institutional clients as well as corporations around the world.
We are about 60,000 employees in all major financial centers, in more than 50 countries. Do you want to be one of us?
We’re a truly global, collaborative and friendly group of people. Having a diverse, inclusive and respectful workplace is important to us. And we support your career development, internal mobility and work-life balance. If this sounds interesting, apply now.
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.