Derek McKeon
Regulatory Compliance Expert / Risk Management Strategist
- Role
- Associate Director - Rules-based Testing Compliance at UBS
- Location
- New York, NY, US
- LinkedIn followers
- 500 followers
About Derek McKeon
A highly accomplished Compliance Officer with 20+ years of diverse experience in regulatory supervision, broker dealer compliance and risk management. Proven ability to identify issues and develop innovative solutions that ensures risk mitigation and compliance with regulatory requirements. A resourceful problem solver who establishes and maintains strong relationships with all levels of management. Keen understanding of Corporate policies and procedures as well as key regulatory compliance and risk requirements. A subject matter expert in SEC rules, FINRA and insurance regulations, and risk management; various experiences working for large multi-faceted investment firm; with the FINRA 7, 26 and 63 Licenses.I have extensive leadership experience having led teams within Compliance, Risk Management, Internal Audit and business functions.Areas of Expertise- Regulatory Compliance- Regulatory Supervision- Risk Management- Conduct Risk / Sales Practices Risk Management- Compliance Data Analytics and Information ManagementBusiness Expertise- Broker-Dealer / Securities- Insurance- Annuities
Experience
Associate Director - Rules-based Testing Compliance
Jun 2021 — Present · Weehawken, NJ, US
Education
City University of New York-College of Staten Island
Bachelor of Science
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