Maria Castro
Co Head of Americas Licensing and Registrations at UBS | New York City Metropolitan Area
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Maria Castro is a highly accomplished Director of Registration Licensing & Regulatory Reporting at UBS, where she leverages her extensive expertise in compliance operations to ensure the firm adheres to the rigorous standards set forth by regulatory bodies such as FINRA, NFA, SEC, and NMLS. With a keen eye for detail and a commitment to excellence, Maria supervises a dedicated team responsible for managing all aspects of broker-dealer registrations and licensing. Her role encompasses overseeing both corporate and individual applications, ensuring that all submissions meet regulatory requirements and are processed efficiently.
At UBS, Maria has spearheaded key projects aimed at enhancing internal controls and streamlining compliance processes. Her deep knowledge of broker-dealer registrations enables her to identify potential areas of risk and implement effective solutions that bolster organizational efficiency. Maria's leadership has been instrumental in fostering a culture of compliance within her team, emphasizing the importance of meticulous documentation and adherence to regulatory timelines.
In addition to her regulatory expertise, Maria's bilingual capabilities allow her to communicate effectively with diverse stakeholders, further enhancing her team's ability to navigate complex licensing landscapes. Her proficiency in risk management, particularly in areas such as insurance and mortgage state licensing, positions her as a vital asset in UBS's commitment to maintaining the highest standards of compliance. As the financial services industry continues to evolve, Maria remains at the forefront, driving initiatives that not only meet regulatory demands but also support the strategic goals of UBS.
Co Head of Americas Licensing and Registrations at UBS in March 2025 to Present
Director - Registration Licensing & Regulatory Reporting at UBS in March 2022 to April 2025
Associate Director at UBS in August 2014 to March 2022
Regulatory Compliance Risk Manager at PRMG, Inc. in September 2013 to August 2014
Due Diligence QC Compliance (Paralegal) at Consultant in October 2012 to September 2013
Licensing Manager (Compliance Paralegal) at InterLinc Mortgage Services, LLC in April 2012 to October 2012
Licensing Manager (Paralegal) Director at Envoy Mortgage in August 2008 to April 2012
Licensing / Compliance (Paralegal) Manager at First Houston Mortgage, Ltd. (Envoy Mortgage Ltd.) in August 2008 to August 2009
Compliance /QC Specialist at Mortgage Alternatives- Gregg & Valby, L.L.P (Contract) in March 2008 to July 2008
Compliance/QC/ Operations- Contract basis as needed at FIrst Source Mortgage ( Ongoing Contracts) in January 2006 to January 2008
Operations Manager/ Closing Post Closing Manager (Contract basis) at USA Bank (Ongoing Contract) in January 2006 to January 2007
Closing Post Closing Operations & Compliance Mgr NY Region at First Franklin in October 2003 to January 2006
Banking Officer (Post Closing Compliance Paralegal) at Columbia Equities Home Loan - Oceanfirst Bank in January 2001 to January 2003
Closing Paralegal at Columbia Equities Home Loans - Pardes & Pardes Law Firm in January 1998 to January 2001
Processing Manager/ Underwriter at CItyscape Mortgage Corp. in January 1994 to January 1998
Paralegal at Smith, Buss & Jacobs (Smith & Barbanes, LLP) in January 1989 to January 1994
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Cross-functional Team Leadership
Registration
Valuation
Reporting
Operations Management
Account Reconciliation
Vendor Management
Analytical Skills
FINRA
Regulatory Compliance
Insurance
Mortgage Banking
Mortgage Lending
Loans
Due Diligence
Licensing
RESPA
Credit
Banking
Underwriting
Residential Mortgages
Financial Risk
Leadership
Legal Research
Auditing
Mortgage Underwriting
Risk Management
Credit Risk
Mortgage Licensing
Post Closing
Bookkeeping
Red Flags
HMDA
Conventional
VA
Coordination
Credit Analysis
Reverse Mortgages
FHA financing
Time Management
Document Review
Accounting
Compliance
REO
Anti Money Laundering
U.S. Federal Housing Authority (FHA)
Financial Reporting
Compliance Management
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Discover more about UBSWhat is Maria Castro email address?
Email Maria Castro at [email protected]. This email is the most updated Maria Castro email found in 2026.
How to contact Maria Castro?
To contact Maria Castro send an email to [email protected]. (updated on October 30, 2024)
What company does Maria Castro work for?
Maria Castro works for UBS
What is Maria Castro's role at UBS?
Maria Castro is Co Head of Americas Licensing and Registrations
What is Maria Castro's Phone Number?
Maria Castro's phone (212) ***-*112
What industry does Maria Castro work in?
Maria Castro works in the Financial Services industry.
Maria Castro Email Addresses
Maria Castro Phone Numbers
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