Nicholas Ralph Email & Phone Number

Zürich, Zh, Ch

Zürich Area, Switzerland

• UBS lead for investor protection and product risk topics • Responsible for client and product suitability frameworks, policies, global forums and training• Oversight for major issues and reporting to senior level governance bodies • Performing thematic reviews up to UBS Group Executive Board, including Environmental, Social and Governance• Utilizing core underlying product data and business intelligence software• Leading the development of an Artificial Intelligence machine learning tool for better suitability case detection • Leading firm best practice, industry developments and change• Knowledge of key regulations including Fidleg / FinSA, FCA, MiFID II, SEC Best Interest, HKMA and MAS

Zürich Area, Switzerland

• Leading compliance officers located on Fixed Income trading floor in Opfikon, Zurich• Transactional guidance and approvals to UBS' Investment Banking and Group Asset and Liability Management Divisions (GALM)• Management of consequential risk, reporting and remedial actions, including Operational Risk• Active representative at Management Committees for Business, Regional, Divisional and Functional matters• Subject matter expert on FX, Rates and Credit products, for regulatory change including support of projects (implementation of FinFrag, MiFID II) and EU Benchmark Regulation• Design and delivery of face-to-face presentations to large audiences and specific senior management sessions• Global collaboration on operational and strategic compliance topics within UBS' Investment Banking and GALM Divisions• Mentoring of staff within own team, department and area• Close collaboration with Weath Management compliance teams

Munich, Germany

Outline of Responsibilities• Compliance Manager for International Treasury and Finance• Analysis and implementation of current regulatory change initiatives (EMIR, MiFID II) • Governance for 6 European bank branches including London Branch incorporating Capital Markets, Sales and Trading businesses• European Reviewer and Approver of New Products including OTC Clearing, Futures Execution and Clearing, Principal Securities Lending, Money Market Funds Trading, FX Sales and Trading Expansion, and Equity Swaps• Compliance lead on European Legal Entity Restructuring project• Advice to Bank Managing Directors on European Regulatory matters (FCA, PRA & BaFin)• Establishment of Compliance Monitoring Plan and associated Issue Management• Recruitment, Management and Mentoring of staff in multiple locations

London, United Kingdom

Outline of Responsibilities:• Compliance advisory support covering Foreign Exchange Sales & Trading, Treasury, and FuturesClearing and Execution • Performing regular desk based & thematic reviews of business units detailed above• Attending and providing compliance input into new products approval process• Performing regular appraisals for staff member and H.R.• Identifying and managing conflicts of interest issues and advising Senior Management onresolutions• Providing clearance of business specific financial promotions• Developing and conducting compliance training (including Market Abuse, AML, Inductions, etc.)• Participated in planning for, and facilitating, regulatory visits, audits and examinations, includingresponse to post visit feedback letters (FSA, Fed, Exchanges & Audits)• Transactional based anti-money laundering advice to front office and support functions

London, United Kingdom

Outline of Responsibilities:• Monitoring of transactions for potential breaches of information barriers• Carrying out reviews across the business in line with the compliance monitoring plan• Liaison with the FSA, LSE and ICMA on a periodic basis• Assessing the impact of FSA consultation and policy statements on the firm.

London, United Kingdom

Outline of Responsibilities:• Responsible for delivery of global project covering London and Cayman based clients• Recruited and trained new members to the team• Progress updates with business risk managers, project sponsor and regulators• Created, development and enhanced project technology infrastructure

London, United Kingdom

Outline of Responsibilities:• Remediation of client accounts to new FSA standards (N2)• Took on team leader role to ensure quality and efficiency on the project• Transferred to the fixed-income division to assist with specific regulatory requirements reportingdirectly to managing director

Bachelor Of Arts (Ba) (Hons), Business Studies, 1St Class Honours

Master Of Business Administration - Mba, Corporate Finance, Strategy, Project Management, Business Law And Csr

Certificate In Securities & Diploma Regulation And Compliance Paper