Daniel Connor Email & Phone Number

New York, New York, United States

Greater New York City Area

New York City

While remaining Global Head of Compliance through 2008, led global operational risk control team (approximately 12 direct and indirect reports) which independently controlled operational risk (business and IT). Program included SOX objectives & controls. Established the operational risk framework, identified risks and issues, helped mitigate and track.

Led a global team of approximately 85 direct and indirect reports. Major objective was to establish more consistent and established approaches among autonomous units and regions in key areas.Established a stronger Global Anti-Money Laundering Know Your Customer program and wrote first global policy along with supplemental guidance for the various asset.

UBS Global Asset Management and Wealth ManagementAudit Head responsible for leadership of teams comprised of approximately 30 staff, delivering audit services for two of four UBS business groups. Led risk assessments, developed audit plans and managed their execution and completion, delivered special project services, and managed senior management.

Global Head of UBS Global Asset Management Audit In 1998, during the Swiss Bank Corporation / Union Bank of Switzerland merger, created and developed the Global Asset Management audit team covering this global business group. Managed team of between 12 – 17 professionals located in several international locations. Deployed audit coverage to a wide variety.

Responsible for the audit coverage of the Emerging Markets Sales, Trading & Research and Corporate Finance businesses. Supervised teams of 6 - 18 professionals. In 1993, also became responsible for overseeing the audit function (3-4 person staff) in Brazil. In January 1994 appointed to manage the audit coverage and support of the Global Swaps Group (along.

Four years of public accounting experience in the E&Y, Washington, DC office prior to being selected for an international assignment with the E&Y, Paris office.Executive management and performance of financial audits of domestic and international companies, including multi-location engagements, consolidating in various foreign currencies and reporting in.

Mba, Accounting Concentration

Ba, Economics & Biology

Education record

Education record