Corey Traub
Executive Director, Global Head of Financing Services Compliance at Ubs
Based in New York, United States
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Seniority
C-Team
Department
Finance & Accounting
Location
New York
Industry
Financial Services
Company size
118K
Contact information
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c•••••••@ubs.com
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Background
About Corey Traub
Dedicated Compliance professional with leadership skills, people management experience, and extensive subject-matter expertise spanning CFTC, SEC, FINRA, NFA and exchange regulations. Possesses a deep understanding of the current regulatory challenges facing Prime Brokerage, Securities Lending, and FCM/futures businesses. Proven record of running a successful compliance program for these complex financing businesses as they navigate the modern landscape. Regularly featured as a panel “moderator” and “speaker” at major industry conferences including the Annual FIA L&C conference in Washington D.C. Current member of the SIFMA Prime Brokerage & Securities Lending Industry Committee Current member of the FIA L&C Executive Committee. Expertise includes- Futures and Options - Prime Brokerage - Securities Lending - Capital Introduction and Hedge Fund Consulting - Swaps (under both CFTC and SEC jurisdiction)- Clearing Services and CCPs - Operational Risk Control - Supervisory Controls - Surveillance Controls
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