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Nikunj Solanki

@nikunjsolanki

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Compliance Specialist at UBS who automated invoice management, cutting processing time by 50%.

India

Message

At UBS, I manage UK licensing and registration activities against FCA/PRA requirements, including exchange registrations and employee certifications. I also review exceptions, resolve eligibility gaps, and report on operations.

I automated invoice management using Power Automate and SharePoint, eliminating manual Excel entry and reducing processing time by 50%. Previously at Bank of America, I managed FINRA U4 licensing and registration and supported payment processing and exception resolution.

Experience

Work history, roles, and key accomplishments

Current

Compliance Specialist, UK Licensing & Registration

Current

UBS

May 2025 - Present (1 year 5 months)

Manage UK licensing and registration activities ensuring compliance with FCA/PRA requirements. Oversee exchange registrations, administer employee certification lifecycle, and deliver operational reports.

FCA PRA UK Licensing Registration Compliance Operations Risk And Controls Exception Review Audit Support Process Improvement Automation Power Automate SharePoint Excel Reporting

Senior Registration & Licensing Specialist

Bank of America

Sep 2022 - Apr 2025 (2 years 7 months)

Managed FINRA U4 licensing and registration for advisors and employees. Conducted background verification and acted as primary contact for regulatory queries.

FINRA U4 Licensing Registration Background Verification OBA Exception Review Root Cause Analysis SOP Development Process Migration Training

Lockbox Operations Specialist

Bank of America

Nov 2020 - Aug 2022 (1 year 9 months)

Processed customer payments including validation, reconciliation, posting, and collections. Investigated and resolved payment exceptions and maintained accurate financial records.

Payment Processing Reconciliations Exception Management Financial Records Customer Service