C&orc Specialist Job in Ubs

Do you have good judgment? Are you a strong communicator?
We're looking for talented people to join our Compliance & Operational Risk Control for US Licensing and Registration team.:
supporting the delivery of key processes of Licensing & Registration in line with the relevant Standard Operating Procedures. This includes liaising closely with key Conduct Risk stakeholders and the business and other control functions.

identifying and escalating potential disclosure events to relevant stakeholders in a timely and accurate manner.
monthly review of Affirmations (AOL) and coordinating with Business for Disclosures
assist in facilitating the collection and submission of Registration Applications to regulatory agencies on behalf of registered personnel of UBS
coordinate communications with regulatory bodies on various registration related issues;
coordinate the submission of firm related registration applications to various self-regulatory and state insurance licensing agencies.
coordinate internal collection, review, and preparation of relevant disclosure documentation required by State Regulatory Agencies and meticulously maintain records;