Giuseppe L.
Director of Compliance @UBS
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WORK HISTORY
Director of Compliance @UBS
Supports the UK GWM business in managing regulatory riskPerforms second-line-of-defense activities in relation to consequential regulatory risksEnsures frameworks are designed well and operating effectivelyIdentify compliance risks across the whole of the Wealth Management UK businessSupports the GWM business to ensure regulatory changes are implemented and controls are enhanced.Delivers independent assessment and reports that shed light on our regulatory performanceProvide senior business management with input to controls, tools, training, frameworks and information and insights required to manage regulatory risk
EDUCATION
Chartered Institute of Securities and Investments
Private Client Investment Advice and Management, Investments and Securities
Chartered Insurance Institue
CF8, Long Term Care Insurance
Scuola Media Statale
Licenza di Scuola Media Inferiore
Chartered Institute of Securities and Investments
Certificate in Securities, Investments and Securities
Institute of Financial Services
Certificat of Mortgage Advice and Practice, Mortgage advice
CFA Society of the UK
Investment Management Certificate, Investment Management
Institue of Financial Services
Certificate of Financial Adviser, Financial Planning and Services
Liceo Classico Ettore Majorana
Diploma di maturita' classica
LICEO STATALE ETTORE MAJORANA
Master's Degree
Chartered Insurance Institute
JO1 Paper, Personal Taxation
Chartered Institute of Securites and Investments
I.A.Q.
Chartered Institute of Securities and Investments
Diploma in Investment Compliance, Financial Regulation and Investment Compliance
ABOUT GIUSEPPE L.
With over 17 years of experience in compliance and wealth management, I specialize in…
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