Key responsibilities
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 [redacted]. Please reference 000974. NO CALLS PLEASE. EOE/M/F/D/V. #LI-DNI
The team
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.
You'll be working with the IB Operations - Service Delivery Team team in Nashville, TN.
Your skills and experience
• Education & Experience Requirement:
• This position requires Ten (10) years of experience in the job offered or as a Transaction Reporting Specialist, Regulatory Transaction Analyst, Trade Support Analyst, Equities Customer Relations Support, Back Office Operations Investigations and Claims Analyst, or related occupation.
Alternate Education & Experience Requirement (if applicable):
• The employer will alternatively accept a Bachelor's degree or foreign equivalent in Financial Services, or related field of study plus eight (8) years of experience in the job offered or as a Transaction Reporting Specialist, Regulatory Transaction Analyst, Trade Support Analyst, Structures Equities Customer Relations Support, Back Office Operations Investigations and Claims Analyst, or related occupation in lieu of ten (10) years of experience.
Position requires experience with the following:
• (1) investment bank products; (2) trade life cycle; (3) trade booking models; (4) management reporting; (5) United States regulatory policies; (6) global transaction reporting, reconciliation and remediation; (7) building out a robust framework and procedures to ensure alignment with the regulatory reporting requirements; (8) accuracy, timeliness, and completeness principles; (9) mitigating and remediating risks outstanding caused by potential and real regulatory breaches; (10) collating data for distribution to higher management; (11) internal auditing
