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Stuart Wilson - Head Of Compliance / Mlro Email & Phone Number
Director, Compliance and Operational Risk Control, Asset Management
at
UBS
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✓ Verified Jun 2026
3 data sources
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Current company
Role
Director, Compliance and Operational Risk Control, Asset Management
Location
London, England, United Kingdom
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Stuart Wilson - Head Of Compliance / Mlro is listed as Director, Compliance and Operational Risk Control, Asset Management at UBS, a company with 28 employees, based in London, England, United Kingdom. AeroLeads shows a matched LinkedIn profile for Stuart Wilson - Head Of Compliance / Mlro.
Stuart Wilson - Head Of Compliance / Mlro previously worked as Director, Head of Compliance, MLRO & Risk Officer, BNY Mellon Investments EMEA & Latin America at Bny and Director, EMEA Compliance Advisory at Blackrock. Stuart Wilson - Head Of Compliance / Mlro holds Investment Management Certificate from Uk Cfa Society.
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UBS
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About Stuart Wilson - Head Of Compliance / Mlro
An influential, highly-motivated and commercially-minded senior compliance professional, who believes that an effective compliance function has a crucial and significant role in supporting a business achieve its strategic goals and growth plans. I have over 25 years’ experience working within Risk & Compliance roles covering multiple jurisdictions, the last 16 years of which in compliance leadership positions, including 11 years as SMF16(CF10) / 8 years as SMF17(CF11). During this time, I have been at the forefront of regulatory changes and industry trends. Ensures business functions receive timely and qualitative compliance advice, that senior management are fully aware of their individual and collective regulatory obligations and that clients are properly protected. I have forged a successful career at several of the world’s largest financial institutions and been instrumental in supporting the business functions through significant changes to the regulatory landscape and market environment with strong, risk-based and pragmatic guidance and decision-making. I started my career within the asset servicing, trustee and depositary business of The Royal Bank of Scotland plc, which served to provide an excellent foundation for development of a strong understanding of securities markets, financial instruments and asset classes. I joined BNY Mellon Investment Management (now BNY Investments) in 2013 as Director of Compliance for the Investment Management Global Distribution business with responsibility for the UK, Europe, Middle East & Africa (EMEA) and Latin America regions. During this time, I took on the additional responsibilities of Money Laundering Reporting Officer for a MiFID investment firm and an authorised fund manager (AFM), and later the operational risk function, also covering prudential risk including ICARA (previously ICAAP).My career journey has enabled me to develop a strong and comprehensive understanding of the investment management and securities servicing sectors, fund operations, and global distribution operations, with regulatory specialisms in areas covered by MiFID, UCITS, AIFMD and CASS rules to name but a few.I have faced many challenges in my long and successful career and have been able to demonstrate great strength of character and resiliency to overcome setbacks, learn from these and adapt. I am 'hands-on' and a great team player, and place great importance on the empowerment of others to help them develop and grow, leaning in to help solve problems, and providing ongoing coaching and management support.
Current workplace
Stuart Wilson - Head Of Compliance / Mlro's current company
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Ubs
8 roles
Stuart Wilson - Head Of Compliance / Mlro work experience
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Director, Head Of Compliance, Mlro & Risk Officer, Bny Mellon Investments Emea & Latin America
Chief Compliance Officer for the BNY Mellon Investment Management central distribution organisation covering UK, Europe, Middle East & Africa (EMEA) and Latin America regions with responsibility for oversight of the principal operating companies in the UK and Luxembourg, including branch offices in France, Germany, Italy, the Netherlands, Spain and Sweden.
Feb 2013 - Jul 2024
Director, Emea Compliance Advisory
Head of Compliance Advisory team servicing BlackRock EMEA Retail business including UK and Luxembourg products and Fundamental Equity portfolio management division and trading desk.Also responsible for managing the Regulatory Developments function within EMEA Compliance, co-ordinating Compliance contribution to regulatory affairs and public policy agenda.
Mar 2012 - Feb 2013
Director, Emea Compliance Advisory
- Head of Compliance Advisory teams which during the period, serviced various portfolio management, trading and investment advisory functions within BlackRock EMEA, specifically:
- BlackRock Multi-Asset and Client Solutions (BMACS) which managed c.US$491bn in asset allocation, derivatives solutions and LDI strategies, and c.US$298bn in structured solutions and advisory assignments.
- Fixed Income, divided into active and model-based strategies encompassing the full spectrum of fixed income assets, including government, credit, rates and asset-backed securities.
- Cash / Liquidity Strategies, comprising pooled money market funds and separate accounts.
- Scientific Active Equity, which used cutting-edge technology and sophisticated analytics techniques to identify investment insights faster, at greater scale, and with more granularity than traditional methods.
- Global Markets Strategies Group ('GMSG') which managed BlackRock's global macro product suite, including the flagship Cayman-domiciled Global Ascent hedge fund with c.US$9bn AUM investing in equities, bonds, short.
Dec 2010 - Mar 2012
Director, Deputy Head Of Emea Funds Compliance
Responsible for leading Compliance advisory relationship with the International Retail and Institutional business areas, in particular in respect of the EMEA mutual fund ranges domiciled in Luxembourg, Ireland, UK and Cayman, and UK Life Companies.Key Responsibilities and Achievements:-Assist in setting of strategic objectives for team and delivery of.
Jan 2008 - Dec 2010
Vice President, Retail Compliance
- Key Responsibilities / Achievements:
- Progressive involvement in new and increasingly complex product launches including professional/expert investor funds and real estate funds.
- Took on responsibility for fund registrations function without any prior knowledge, and developed profile of the team and processes within the broader business, leading projects to register funds in multiple new markets.
- Involved in a number of high-profile operational initiatives including the migration of UK transfer agency operations to Jacksonville (Fl.) in 2004, and transition of the funds domiciled in Ireland and Jersey to a new.
- Co-ordinated implementation of Simplified Prospectus in the UK in 2005.
- Participated in conversion to UCITS III operational infrastructure including establishment of the Luxembourg management company and adoption of COLL rules in the UK.
Jan 2004 - Jan 2008
Assistant Vice Preseident, Retail Compliance
- Experience of note:
- Development of anti-money laundering training presentation to London-based employees in the retail business.
- Key contributor to establishment of compliance monitoring programme for delegated functions including fund accounting and transfer agency operations.
- Developed process for annual fund manager review and sign-off of internal investment guidelines for UK authorised and unauthorised funds.
- Developed trend analyses of breaches and complaints.
- Introduced revised policy and monitoring in respect of gifts and entertainments.
Dec 2000 - Jan 2004
Trustee & Depositary Services
Worked within the Global Securities Services division of RBS, including roles within the banking/clearing centre, custodian trustee and fund administration functions.Joined the Compliance Audit function in 1996 which oversight of activities undertaken by fund operators, conducting regular site-visits to client offices and remote monitoring of breaches and.
Jul 1988 - Dec 2000
1 education record
Stuart Wilson - Head Of Compliance / Mlro education
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Uk Cfa Society
FAQ
Frequently asked questions about Stuart Wilson - Head Of Compliance / Mlro
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What company does Stuart Wilson - Head Of Compliance / Mlro work for?
Stuart Wilson - Head Of Compliance / Mlro works for UBS.
What is Stuart Wilson - Head Of Compliance / Mlro's role at UBS?
Stuart Wilson - Head Of Compliance / Mlro is listed as Director, Compliance and Operational Risk Control, Asset Management at UBS.
Where is Stuart Wilson - Head Of Compliance / Mlro based?
Stuart Wilson - Head Of Compliance / Mlro is based in London, England, United Kingdom while working with UBS.
What companies has Stuart Wilson - Head Of Compliance / Mlro worked for?
Stuart Wilson - Head Of Compliance / Mlro has worked for Ubs, Bny, Blackrock, Merrill Lynch, and Royal Bank Of Scotland.
Who are Stuart Wilson - Head Of Compliance / Mlro's colleagues at UBS?
Stuart Wilson - Head Of Compliance / Mlro's colleagues at UBS include Ethan Harro and Flloyd Rewa.
How can I contact Stuart Wilson - Head Of Compliance / Mlro?
You can use AeroLeads to view verified contact signals for Stuart Wilson - Head Of Compliance / Mlro at UBS, including work email, phone, and LinkedIn data when available.
What schools did Stuart Wilson - Head Of Compliance / Mlro attend?
Stuart Wilson - Head Of Compliance / Mlro holds Investment Management Certificate from Uk Cfa Society.
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