Daria Malinina

Background

About Daria Malinina

With over a decade of experience in the financial services industry, I have developed a strong background in electronic communications surveillance, regulatory compliance, and risk mitigation strategies—skills that align closely with the demands of a compliance-focused role. At UBS, I currently serve as the Home Office Supervisory E-Comm Manager, where I lead the oversight of electronic communication channels in accordance with SEC and FINRA regulations. My responsibilities include monitoring, identifying, and escalating potential compliance breaches, while collaborating closely with Legal, Risk, and Compliance teams. Additionally, I contribute to the firm’s Complaints Program by developing and refining complaint data reporting processes to strengthen enterprise-wide risk management. My prior roles have allowed me to hone my ability to translate regulatory requirements into actionable compliance procedures, train employees on best practices, and respond effectively to audits and regulatory reviews. I bring a deep understanding of tools like ComplianceNow, Smarsh, and Actimize, and am fluent in Russian, Spanish, and Portuguese—enabling effective communication in diverse, global work environments.