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    Nicholas Marotta

    Brentwood, Tennessee

    Executive Director, Americas Operational Risk Oversight

    Ubs Financial Services Inc

    Financial Services professional with extensive risk control, compliance, and management experience.

    Skilled in operational risk management, internal controls, financial analysis, operations management, administration, budgeting and business planning. Team leader and team player who collaborates well with cross-functional groups.

    Specialties

    check markAuditing & Compliance

    check markRisk & Quantitative Analysis

    Where I've Worked
    Ubs Financial Services Inc logo

    Sep 2018 – Jun 2019

    Executive Director, Americas Operational Risk Oversight and Head of CUSO Governance, Analysis

    Ubs Financial Services Inc
    Ubs Financial Services Inc logo

    Sep 2018 – Jun 2019

    Executive Director, Americas Operational Risk Oversight

    Ubs Financial Services Inc
    UBS Financial Services logo

    Nov 2004 – Jun 2019

    Executive Director

    UBS Financial Services
    Ubs Financial Services Inc logo

    Jul 2014 – Sep 2018

    Executive Director, Americas Monitoring, Surveillance

    Ubs Financial Services Inc
    Ubs Financial Services Inc logo

    Jul 2014 – Sep 2018

    Executive Director - Americas Monitoring

    Ubs Financial Services Inc
    Ubs Financial Services Inc logo

    Nov 2010 – Jul 2014

    Executive Director - Americas Compliance & Operational Risk Control

    Ubs Financial Services Inc
    Ubs Financial Services Inc logo

    Jan 2008 – Jul 2009

    Executive Director - Finance

    Ubs Financial Services Inc
    Ubs Financial Services Inc logo

    Nov 2004 – Jan 2008

    Corporate Vice President - Wealth Management Americas (WMA) Operations

    Ubs Financial Services Inc
    Rbc Capital Markets logo

    2003 – 2004

    Senior Trader

    Rbc Capital Markets
    C

    2001 – 2003

    Senior Trader

    C.e. Unterberg, Towbin
    G

    2000 – 2001

    Head Institutional Trading

    Gruntal & Co
    H

    1994 – 2000

    CHASE, Trader

    Hambrecht & Quist Llc
    Where I've Studied

    BA, Economics and Accounting

    Rutgers University

    MBA, Finance

    Seton Hall

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