Authorized Officer, IB Operations - Service Delivery Team Leader
UBS · United States
UBS Business Solutions US LLC is seeking an Authorized Officer, IB Operations - Service Delivery Team Leader in Nashville, TN.Are you an innovative thinker? Are you focused on the details, even when under pressure? Do you enjoy delivering enhanced change capabilities across a range of business functions?
We’re looking for an Authorized Officer, IB Operations - Service Delivery Team Leader to:
• Ensure governance processes are performed per the Regulatory Transaction Reporting (“RTR”) Risk Framework and Investment Bank Risk Framework for the CFTC, SEC and Canadian Swap Dealer rules. Ensure all processes and controls for monitoring regulatory reporting are performed timely and accurately.
• Ensure framework and operating documentation are maintained. Ensure all required reviews are performed timely and accurately and results are published. Prepare materials for monthly Operating Forums.
• Ensure issues and risks are identified and escalated appropriately, including the maintenance of the global Production Issues log for Americas RTR items. Ensure engagement with various global stakeholders including Legal, Compliance, and external industry forum participants to monitor for regulatory activities and changes.
• Ensure RTR Americas team is responsive to issues raised and risks are tracked until remediation is validated and successful and transactions are being reported to the relevant Regulator. Work with relevant teams to ensure Regulatory changes are implemented in due time.
• Be a conduit during internal audits and compliance testing and liaise with the relevant teams to ensure requested evidence is submitted in due time. Be the Onshore contact for the RTR Quality Assurance team to ensure testing and reviews are appropriate for RTR Americas.
• Can work hybrid (In-office/remote).
Qualified Applicants apply through SH-ProfRecruitingcc@ubs.com. Please reference 000974. NO CALLS PLEASE. EOE/M/F/D/V. #LI-DNI