At UBS, I chaperone communications between Research and GB to prevent undue influence. I also maintain and analyze deals in Pre-Solicitation or Solicitation.
I review controls and procedures for risk management, assist with annual Key Procedural Control reviews, and update internal documents when they change.
Before my current role, I was a Compliance Analyst in UBS’s Control Room. I analyzed whether Research analysts could publish on certain companies, maintained the Grey and Restricted lists, and reviewed conference attendees for conflicts of interest.
At the Tennessee Secretary of State’s Division of Business Services and Charitable Organizations, I reviewed applications to solicit charitable contributions and maintained database records. I earned a Juris Doctor from Belmont University College of Law and a Bachelor of Political Science from the University of Tennessee, Knoxville.
