John Tagliavia
Executive Director of Surveillance Engineering, Control Framework Design at UBS
- Role
- Executive Director of Monitoring, Surveillance & Controls Product Management at UBS
- Location
- Staten Island, NY, US
- LinkedIn followers
- 500 followers
About John Tagliavia
With over 23 years of expertise, I have become a key resource for Sales, Trading, Business-AlignedCompliance, Trade and E-Communication Surveillance and Operations teams at top-tier investmentbanks, asset management firms, and global wealth management institutions. I have successfullymanaged surveillance functions and teams, ensuring compliance with regulatory requirements whilemitigating market abuse risks. My extensive product knowledge spans Securitized Products, Rates,Credit, FX, Equities, Futures and Options, where I have provided front-to-back trade flow support tovarious trading desks.As a business-aligned compliance leader, I have overseen teams handling regulatory inquiries andconducting in-depth regulatory rule analysis. I am adept at developing and executing Market Abuse RiskAssessments (MARA) and conducting key control audits to ensure robust compliance frameworks. Myhands-on experience with e-communication surveillance and system enhancements has driven processautomation and increased operational efficiency.Core competencies include building and mentoring high-performing teams, conflict management andproject management. I have a proven track record of delivering clear, impactful public speaking andpresentations, fostering strategic relationships, and enhancing performance through regular reviews andfeedback. My strong presence on the trading floor, combined with my ability to navigate complexregulatory landscapes, makes me a versatile leader with the capability to drive compliance andsurveillance initiatives forward.• Business Aligned Compliance • Regulatory Inquiries • Regulatory Rule Analysis• Trade Surveillance • Project Management • Public Speaking• E-communication Surveillance • Performance Reviews • Mentoring & Training• Market Abuse Risk Assessment • Conflict Management • Key Control Audits• Team Building & Leadership • Strategic Relationships • Trading Floor Experience• Front to Back Trade Flow • Process Automation • System Enhancements• Technical Analysis• Trading• Forex• MetaTrader
Experience
Executive Director of Monitoring, Surveillance & Controls Product Management
Nov 2022 — Present
Education
St. John's University
Master of Business Administration (MBA), Finance, General
2004 — 2006
St. John's University
Bachelor of Applied Science (B.A.Sc.), Finance, General
1998 — 2002
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