Lauren Stiefel
About Lauren Stiefel
Lauren Stiefel serves as the Associated Director of Compliance at UBS Financial Services Inc, where she has worked since 2005. She holds dual Bachelor's degrees in Information Technology and Management Information Systems from Montclair State University.
Work at UBS
Lauren Stiefel has served as the Associated Director of Compliance at UBS Financial Services Inc since 2005. With 19 years of experience in this role, she operates from the Weehawken, NJ office. In her position, she manages the tracking and submission of fingerprint cards and oversees the weekly fingerprints report. Stiefel is responsible for project management related to monthly state and firm requirements, ensuring compliance with applicable regulatory rules across various states.
Education and Expertise
Lauren Stiefel earned two Bachelor's degrees from Montclair State University between 1998 and 2003. She studied Information Technology and Business, concentrating in Management Information Systems. This educational background provides her with a solid foundation in both technical and managerial aspects relevant to her current role in compliance.
Background
Before her current role at UBS, Lauren Stiefel worked as an Administrative Assistant at UBS Financial Services Inc from 2004 to 2005. She also gained experience as an Office Administrator at Hanger Orthopedic Group from 2003 to 2004. These positions contributed to her understanding of office operations and regulatory compliance within the financial services industry.
Regulatory Compliance Management
In her role at UBS, Lauren Stiefel develops and maintains relationships with State Regulators. She compiles, reviews, and executes State Letter requests, ensuring that the firm meets its regulatory obligations. Additionally, she provides support to the forms filing team by processing pre-hires, state and exam requests, and applications for commodity licenses.
Project Management in Compliance
Lauren Stiefel coordinates the filing of numerous regulatory forms on behalf of various Broker Dealers and Registered Representatives. She manages projects related to compliance with state-specific requirements, including Nebraska Attestations, Colorado email submissions, and Tennessee Tax filings. Her role is critical in ensuring that UBS adheres to regulatory standards across multiple jurisdictions.