Jeremy Valeo
Compliance Officer @Union Bank Of Switzerland
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WORK HISTORY
Compliance Officer @Union Bank Of Switzerland
Provide advisory services for Portfolio Management and Trading.· Revised policies and procedures manuals including Compliance Manual.· Responsible for restricting flow of inside information to bring public employees over the wall.· Execute monitoring and testing routines to identify policy and/or regulatory exceptions.· Assist Chief Compliance Officer in performing annual compliance review.· Ensured business units compliance as per the Advisers Act and other SEC regulations and internal policies.· Perform Annual Compliance Risk Assessments and update regulatory inventory as needed.
EDUCATION
Hofstra University
Accounting and Business/Management
SKILLS
ABOUT JEREMY VALEO
Compliance Officer experienced in Asset Management, Anti-Money Laundering, and Capital Markets, Regulatory Remediation Projects. Problem solver and strategic thinker who drives results. Partners with colleagues to arrive at collaborative decisions to accomplish team objectives.
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