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Regulatory Project Manager

Job Title:

Regulatory Project Manager


Stamford, CT


Information Technology


3 Months

Job Description:

As part of the Equities Americas Regulatory Risk Management team, you will be responsible for review, control and oversight of the various US SRO regulatory reporting requirements.. The UBS Equities Business framework provides an integrated approach to managing and operating our business and enables us to consistently assess all areas of the business, identify and prioritize gaps, manage key risks and provide a basis for evidencing effective and compliant principles and practices. 

This is an excellent opportunity to gain a comprehensive understanding of and a detailed insight into all areas across the UBS IB Equities Americas. The role will enable you to develop relationships with key members of our product teams, as well as working with the respective control functions in remediating front-to-back issues.

Job Requirements:

Key Responsibilities Include

- Report to the Head of Equities Regulatory Reporting, assisting in the management of day to day processes for U.S. Trade Reporting obligations such as OATS, TRF (i.e. ACT), EBS, 605/606, TRACE, and LOPR.
- Responsible to ensure complete, accurate and timely reporting to regulators such as FINRA and the SEC.
- Work closely with various internal control functions (Compliance, Legal, Operations and Internal Audit) to ensure the Firm's Regulatory Reporting requirements are met.
- Work closely with the Business, Technology and Operations to assess risks related to booking flows.
- In partnership with Technology manage a program to ensure technology changes and upgrades that impact regulatory reporting requirements are done in a manner that does not negatively impact such reporting requirements.
- Work with Compliance on responding to regulatory inquiries and on regulatory examinations (i.e. FINRA TFCE).
- Work to continuously improve the Firm's existing regulatory framework by improving processes and creating a durable control environment.
Qualifications Include
- Minimum 5 years' experience in an operations, supervisory or compliance role (or similar with and industry SRO) related to Equities trading.
- Understanding of OATS reporting obligations and the complexities associated with booking flows of a large institutional broker dealer.

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