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Caroline Virella

Registered Principal

699 followers

New York City Metropolitan Area

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Timeline
About me
Director - Compliance
Education
- Pace University - Lubin School of Business
  -
  Master of Business Administration (MBA)
- State University of New York College at Oneonta
  -
  Bachelor of Applied Science (B.A.Sc.) Economics
Experience
- Broadway Trading, LLC
  Jan 2000 - Nov 2002
  Registered Principal
  (acquired by Schonfeld Securities)
- Wachovia Securities Financial Network
  Jan 2002 - Jan 2005
  Senior Analyst - Market Surveillance
  My responsibilities include…
- UBS
  Feb 2005 - now
  My responsibilities include…
  - Director - Senior Compliance Testing
    Apr 2022 - now
  - Director - Financial Crime Investigations
    Nov 2017 - Apr 2022
  - Director - Financial Crime Monitoring & Surveillance
    May 2008 - Nov 2017
  - Senior Compliance Analyst
    Feb 2005 - May 2008
Licenses & Certifications
- Series 7, 24, 63, 65, 55
- ACAMS - Association of Certified Money Laundering Specialists
  Jan 2006

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