Jennifer Recker

Jennifer is an experienced leader in risk management with expertise in managing firm wide risk and protecting customer assets.  She has in-depth knowledge of operations, regulatory reporting, and the risk management functions of broker-dealers.  Jennifer leverages these skills to help firms mitigate financial and operational weaknesses, as well as transforming business processes to meet regulatory standards.

In her current role, Jennifer is an Executive Director of Broker Dealer Operations at UBS Financial Services.  She leads the team responsible for identifying and mitigating regulatory risks. In this role, she works across Operations functions to ensure compliance with regulatory requirements. Jennifer’s responsibilities include oversight of funding the 15c3-3 Reserve Formula bank account, coordination of responses to audit inquiries for Operations, and the supervision of operational inputs to regulatory reporting. In addition, she is also serving as the in-term leader of the settlements function.

Jennifer began her career as a regulator for the New York Stock Exchange, completing the Examiner Training program.  She continued to champion investor protection and market integrity in her various examination roles as regulatory bodies consolidated to form the Financial Industry Regulatory Authority (FINRA). Jennifer served in the Department of Risk Oversight and Operational Regulation where she led financial and operational audits of member firms, and partnered with the broker-dealer community to manage regulatory changes. While at FINRA, Jennifer also served as co-chair for the FINRA Women’s Network.

Jennifer holds both the Series 27 and Series 99 licenses.