Susan Byers

WORK HISTORY

EDUCATION

SKILLS

ABOUT SUSAN BYERS

Susan C. Byers, Transformation Lead for Head of Investment Banking Global Operations at UBS, focused on driving Regulatory initiatives, Operational Excellence and Digital Optimization. Regulatory Exam and Enforcement expertise with SEC and FINRA. Strong working relationships with U.S. regulators including formal sworn deposition experience representing the firm. Responsible for accurately reporting and compliance to Reg SHO 204(d), Regulation T, SEA 15c3-1, 15c3-3, 17a-13 and 17a-5 in the Americas, including responding and satisfying all SEC and FINRA regulatory inquiries for over 10 years. Manage $100M Third-Party Risk Management Contracts for North America. Excellent collaborator and intellectually curious. Innovative problem solver with global perspective and ability to deliver effectively under tight deadlines. Most recent accomplishments:Driving UBS T+1 North America Operations Operating Model (Industry Regulatory initiative) supporting People, Processes and Technology.Certified as 2024 UBS IB Advance Leadership Program alumni for high-performing Directors in Investment Banking globally. Hand selected by senior mgmt and graduated in 2024. Awarded 3Q23 UBS Operational Excellence for outstanding Client Focus, simultaneously saving $1M to PnL Go Green Project.Extensive Broker Dealer experience with expertise in risk management, regulatory reporting, financial management, and change management. At Bank of America, Global Markets Technology and Operations, U.S. Client Asset Control Executive, responsible for operational risk management, monetary exposure, project management and regulatory reporting for MLPF & S and ML PRO client protection. Supported large complex projects for the Americas effectively; including but not limited to, Broker Dealer Separation, Broker Dealer Consolidation and Operational Excellence. Senior Director in Global Markets Technology and Operations, which included being ranked and recognized as Top 10% Directors globally. Responsible for ensuring that business activities are in compliance with the firm’s policies and procedures, as well as appropriate regulatory requirements for all U.S. Broker Dealers. Operational Risk Management and Compliance expertise. Developed and implemented independent risk management reporting, governance and management routines for various regulations, such as Sec 15c3-3 Client Protection, 15c6 T+1 Affirmations and Confirmations for different Investment Banking Broker Dealers. FINRA Operations Professional Licence 99 (Active)