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UBS Financial Services Data Testing Lead (broker dealer reporting) in Any, United States

Data Testing Lead (broker dealer reporting)

United States

Compliance

Group Functions

Job Reference #:

215401BR

City:

Any

Job Type:

Full Time

Your role:

Are you investigative in nature? Are you able to spot risks and challenge them? Can you lead and motivate a team to deliver against tight deadlines?

We're looking for a data testing lead to:

• conduct reviews of U.S. broker dealer reporting processes to assess conformance with regulatory requirements

• perform sample-based transaction testing to assess accuracy of data used in reporting processes

• document and communicate issues to stakeholders to senior management

• review remediation actions to assess closure of identified risks

• collaborate with peers in and across the second line of defense

• serve as a key point of contact to the business by providing updates on testing progress and addressing issues as they arise

Your team:

You’ll be working in the Independent Management Testing (IMT) team in Jersey City. IMT provides independent testing services to our business stakeholders as a second line of defense. As a data testing lead you will play a vital role by coordinating with business stakeholders to assess if data flowing from source systems to our regulatory and management reporting is accurate.

Your expertise:

• proven understanding of broker dealer reporting requirements (e.g., FOCUS, 15c3-3 requirements) gained either through experience in compliance, internal audit, or reporting function

• a background in leading medium to large teams with a reputation for delivery

• skilled communicator who adapts style to audience and conveys clear, accurate, and concise information

• ability to quickly understand complex processes and challenge the status quo, identify risks and inadequacies in procedures

• critical thinker focused on details, with solid analytical and reporting skills

• reliable when working on your own, with sound judgment for when to escalate issues

• analytical, with the ability to spot irregularities in data reported compared to regulatory requirements

About us:

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?

Join 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.

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