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Licensing Registration & Regulatory Reporting Specialist

3.00 to 5.00 Years   Pune   27 May, 2023
UBS Securities India Private Limited
Job LocationPune
EducationNot Mentioned
SalaryNot Disclosed
IndustryBanking / Financial Services
Functional AreaGeneral / Other Software
EmploymentTypeFull-time

Job Description

    Responsible for the day-to-day processing of information in relation to US regulatory requirements regarding Licensing and Registrations matters for recruits, employees and contractors including applications and licensing with various regulators, updating licenses, writing and requesting waivers for licenses from regulators, terminations, Insurance applications and licensing, state registrations, regulatory notifications, reporting and providing supporting documentation for responses to regulatory inquiries. keep abreast of latest licensing regulatory developments. Provide regulatory advisory to the business on licensing matters. perform period licensing review for the FINRA regulated individuals review processes to reduce operational risk and improve process efficiency liaising closely with key stakeholders in Compliance, the business and other control functions and timely respond to the related request perform ad hoc duties as requiredYour teamThe Licensing Registration & Regulatory Reporting Team is part of Group Compliance, Regulatory & Governance (GCRG) within the Compliance and Operational Risk Control (C&ORC). You ll be joining our LR&RR Team based in Pune. We provide advice, solutions, and execution with regards to licensing & registration requirements as per regulator requirement in Americas. The function has a cross-divisional remit covering the activities of the Investment Bank, Global Wealth Management, Global Asset Management and Group Functions Businesses.,You Should Have Bachelor/ Master s degree or higher in Finance, Accounting, Law, Business Administration, Risk Management or related disciplines strong communicator and able to work and meet deadlines under pressure highly organized and results orientated. ability to challenge and drive process change. A self-starter, flexible, innovative and adaptive to change. Skilled in report running and or invoicing a plusYou are: a great communicator, you know how to speak with people at all levels of the organization an expert at building networks and connections a team player known for meeting deadlines.

Keyskills :
risk managementasset managementbusiness intelligencerisk controlregulatory reporting

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