Luis Serrano
Director - Business Risk Manager at Ubs
Based in New York, United States
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Seniority
Director
Department
General Business & Management
Location
New York
Industry
Financial Services
Company size
118K
Contact information
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l•••••••@ubs.com
Phone
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Background
About Luis Serrano
Over 15 years of professional experience within the international wealth management business sector with an expertise in client relationship acquisition and retention of Ultra High Net Worth individuals with a focus on credit and risk analysis. Including, but not limited to, a vast knowledge of Trust and legal contract language regarding offshore Private Investment Vehicles. More recently was an active participant in the buildout and development of the Middle Office department at UBS by forging partnerships with Senior Management, third party consulting firms, Legal, and Financial Crimes Compliance while contemporaneously managing and satisfying client onboarding volume needs and demands. Assisted in creating a platform in which the firm ensured its employees conduct business in accordance with federal and state laws, rules and regulations, including those of the SEC, FRB, CFTC, FINRA and other governmental agencies, SROs, as well as internal policies and industry best practices.
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