Versatile and innovative compliance and operations management professional skilled at seeing the “big picture” while still also focusing on the details. Expertise in streamlining processes and systems. Broad-based experience in the financial services industry relating to the compliance and operations of investment banking transactions, equity capital markets, sales and trading, and lendingin a broker and dealer environment.
Investment Banking Compliance
Cost reduction strategies
Cost Basis Tax Reporting
Small Business Owner/Management
Compliance Officer, 11/2014 to Current UBS Financial Services Inc – Nashville, TN Investment Bank Compliance & Operational Risk
- Project and Compliance management responsibilities relating to regulatory Investment Banking controls:.
Member of the Global Control Room network which includes offices in Nashville, New York, London, Switzerland, Hong Kong, Japan, and Australia.
Responsible for maintaining UBS\'s Information Barriers and Global Grey & Restricted Lists.
Global Business Owner of the company\'s Information Barrier Compliance System and responsible for maintenance and enhancement of the system.
Perform measures to prevent conflict of interest and insider trading by analyzing publicly traded securities in relation to UBS Investment Bank dealings, and then placing trading and research restrictions on these securities.
Manage various projects to create efficiencies and decrease risk relating to core compliance systems, processes, and routines.
Manage and assess Information Barrier requests from a business and compliance perspective.
Manage the company\'s Information Barrier policy and procedure documents.
Provide senior level management committee guidance in relation to the company Information Barriers Policy and Procedures.
Create entries in Grey List to track and classify Investment Banking deals (including: IPO\'s, M&A\'s, Loans, Bond Offerings, etc.) in order to protect Unpublished Price Sensitive Information and to maintain regulatory compliance.
Analyze Investment Banking transactions to determine if the bank has safe harbors that allow publication of research reports and ratings on public companies.
Chaperone calls between Investment Bankers and Research Analysts to ensure conversations are compliant with regulation and that no protected information is passed from the private side of the bank to the public side.
Perform maintenance, review, and updates of company disclosures and disclaimers used in research and marketing publications.
Produce and report monthly and quarterly investment bank compliance metrics for senior level management committee.
Perform quarterly investment bank Pitch Book reviews to ensure compliance.
Provided product, operational, and trade order guidance for various Capital Market products and trading systems including Equities, Options, Syndicate, and UIT\'s for the UBS Wealth Management Americas business.
Served as Supervisor, Escalation Manager, and Subject Matter Expert for team of 6.
Delegated team workload.
Provided guidance in relation to trade order entry, model creation, and managed account trading systems.
Managed operations in relation to trade processing, allocation, and corrections.