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 issue resolution. Developed and coordinated the global control process around new business initiatives. Designed and managed the development and roll out of a new automated system to manage this process. Enhanced the operational risk management and control function to be more comprehensive and understood by management.Expanded risk indicators (operational and SOX control certifications, audit results, metrics, events, ad hoc reviews, top down assessments). Implemented a system which consolidated risk information for more comprehensive assessments.Performed ad hoc reviews of complex areas – such as the risk profile of over the counter derivatives in the asset management business.Managed the successful implementation of Sentinel – a portfolio guideline / restriction monitoring system.

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 management units.Created monthly compliance reporting and developed a global risked based compliance monitoring approach.Established personal account dealing (PAD) policy and selected vendor to help implement a system.Designed and implemented on line Global Compliance training for all employees. Revamped error review practices including organizing a panel to review errors and designed new system specifications along with a modified control process.

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 relationships across the business groups. Integrated the PaineWebber internal audit function into UBS. Directed audit coverage on the successful creation of UBS' Utah Bank (then a top 50 Bank in the USA). Represented Internal Audit in the business group governance committees and the audit committee (comprised solely of independent directors) of the UBS Utah Bank.Managed audit coverage over a wide range of retail brokerage activities including suitability, municipal securities underwriting, sales and trading, hedge/mutual funds, credit and lending, SOX 404, Anti-Money Laundering/USA Patriot Act.Appointed Regional Audit Coordinator in 2005 across the UBS Business Groups for the Americas. Acted as point person with regulators and regional management, ensured audit coverage was integrated and covered interfaces and shared services. Coordinated administrative activities (recruiting, budgeting) for 70 audit professionals.

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 of investment management areas (portfolio management, fund administration, system implementations, anti-money laundering, hedge funds).Established a high performing team recognized for its asset management knowledge and ability to identify significant control issues facing the business.Director and promoted to Executive Director, Americas Regional Auditor, Union Bank of Switzerland (predecessor company to UBS) (1994 - 1998)Managed turnaround of the audit function. Responsible for risk assessing and delivering internal audit coverage for all of the Institution’s activities in the Americas (Investment Banking including sales, trading and research, Private Banking, Asset Management and all support functions). Merged two formerly separate audit units, expanded department, enhanced specialized audit skills, experience and overall value added. Established a more progressive and risk based audit approach.Formulated the specifications and managed programming and implementation of the department’s first audit issue tracking system.

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 with its dedicated support areas of Operations, Financial, Systems and Legal).Developed and executed annual audit plans including the first global audit plans for Emerging Markets and Corporate Finance.

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 accordance with different levels of generally accepted accounting principles (GAAP).

Mba, Accounting Concentration

Ba, Economics & Biology

Education record

Education record