Rob Commisso Email & Phone Number

New York, Ny, Us

• Built and manage a distributed team of 14 responsible for independent review of Broker Dealer compliance with rules impacting Global Banking, Global Markets, Electronic Trading, Retail Market Making, Research, and joint venture businesses with other UBS divisions• Report regularly to regional compliance and business risk and management committees on material issues identified as requiring remediation to avoid identification by regulators or Internal Audit• Use knowledge of products and impacting rules to re-engineer and continually improve methodologies used to conduct reviews so as to ensure focus on key risk areas and create efficiency• Participate in annual Compliance Risk Assessments to determine inherent and residual risk of impactful rules and regulations• Oversee the broker dealer’s annual obligations to inspect all of the Firm’s OSJ and non-OSJ branches to identify material supervisory issues• Lead additional reviews related to the firms compliance with various rules. E.g. Market Access, Reg M, LOPR, Books and Records, Client Complaints, Conflicts of Interest, Outside Business Activities, etc

• Utilized cross-product and cross-divisional knowledge to coordinate regional initiatives related to a revised interaction model between business-aligned compliance teams and their associated coverage areas with a focus toward global adoption. • Led the initiative wihtin the Americas to create and rollout new tools to improve ability to scale capacity of staff as well as capture institutional knowledge. E.g.: o Capturing and measuring compliance "challenge" which resulted in loss avoidance o Redirecting low-level policy-based inquiries to more junior near-shore teams to allow senior staff to focus on analytic guidance o Reducing operational risks associated with annual deliverables to regulatory authorities which require CCO / CEO attestation and therefore carry personal liability (eg Volcker, FINRA 3130, Swap Dealer and FCM Reports) o Improving the measurment of performance and effectiveness for the purposes of improving decision making related to resourcing as well as streamlining reporting and escalation to senior management• Oversaw and managed costs in an effort to reduce expenditure without reducing team's access to tools • Managed vendor relationships and staffing discussions related to strategic initiatives (eg Volcker, Consolidated Audit Trail, Compliance Risk Assessments, etc) by coordinating scope, budget, and technical discussions between UBS staff and vendors as well as authoring and approval of contract language and terms.• Coordinated firm-wide communications and reporting to senior management and key regulators related to material issues and governance and managed content for key meetings and Town Halls• Helped to spearhead initiative to communicate the need to right-size compliance staff within the Americas region which ulitmately led to a significant increase in staff

* Manage and oversee the operations of the US Cash Equities business with a focus on Risk/Risk Mitigation including Regulatory, Compliance, Operational, Market, Credit and IT Risk - US and Intl High Touch Trading, ADRs, Electronic Direct Execution, ATS Dark Pool, Quant HQ, PT, ETFs, and Central Risk Book* Facilitate and support revenue generation and business development efforts* Manage platform costs, driving efforts to understand/rationalize costs and reduce operating expenses* Provide Americas Cash Business Heads with a senior single coordination point for driving business growth, providing management reporting, managing day to day operations and risks* Responsible for new business structuring in the US, in partnership with Business Heads and relevant logistical functions, to ensure efficient legal entity, tax and funding structures, technology requirements and ensuring the proper recognition and management of risk, including compliance with applicable rules and regulatory requirements* Manage relationships and provide escalation protocols with key functions (Risk, Compliance, Finance, IT, Operations, Settlements) supporting the business, including promotion of control assurance* Enable and manage process change across the business to promote operational efficiencies and mitigate risk

Technical Product Manager responsible for the delivery of large regulatory programs which span front, middle and back office teams which traditionally do not interface (eg Market Access Rule, Large Trader, Limit Up Limit Down, etc). Additionally serving in the same capacity for business driven initiatives such as the rollout of an HVDMA product as well as a major upgrade of the banks global cross asset trading and R&A platform.* Organized and coordinated projects involving a large number of teams within and outside of IT including Compliance, Risk, Onboarding, Business Management, Credit, etc. Specific projects include US and Canadian Market Access, Limit Up Limit Down, Market Access Annual CEO Certification, ReconNG, NEO, HVDMA, Large Trader, etc.* Formalized various committees, working groups, and escalation frameworks to help define stakeholders, project scope, critical success factors, delivery timeframe, and technical requirements to help drive the project* Helped to design and coordinate the creation of control and surveillance frameworks for new financial and regulatory controls

VC backed software and services startup whose products and solutions were aimed at reducing operational expenses associated with the delivery and availability of business critical infrastructure and applications.Professional Services* Built and managed a team of software consultants in North America to implement and customize Enigmatec solutions and to support direct and indirect sales teams with technical presentations and proofs of concept* Led client workshops to analyze business problems in advance of software customization and implementation* Led clients through entire integration life cycle of Enigmatec's software and provide staffing, technical resource and future capital requirement recommendations* Served as lead Project Manager for all enterprise clients and OEM partners* Delivered detailed documentation articulating business and technical policies, implementation strategies, project timelines, and budgeting based on artifacts from technical workshops* Reported to Enigmatec executive management team on sales campaigns and project and program statusPre-Sales / Client Management* Generated $1.7 million in license and services revenue in 2nd half of 2009 (equivalent to 75% of global revenue)* Increased North American revenues by 50% year-over-year* Played key role in establishing 2 of Enigmatec’s 3 large channel partners* Worked with client’s senior management to help craft current and future initiatives and to develop business cases to support capital and operational expenditures* Negotiated technical and commercial terms and establish pricing models for new cloud computing offerings* Led programs for major channel partners which includes sales presentations, marketing, account planning, training, prototyping, and services

New York, Ny, Us

Worked in the portfolio trading and algorithmic trading teams as a lead QA analyst and business analyst.

Software development consulting company commissioned to develop environmental and financial tracking software for the United States Postal Service.