David Chung Email & Phone Number
Chief Marketing Principal @ UBS
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David Chung Location
- New York, NY, US
David Chung Work
- Chief Marketing Principal @ (October 2019 - Present)
- Global Head of Marketing Compliance Practices @ (March 2017 - October 2019)
- Senior Marketing Compliance Officer, Regulatory Distribution Compliance, Compliance Group @ (September 2013 - March 2017)
- Senior Investment Advisory Compliance Officer - Wealth and Investment Management @ (July 2012 - May 2013)
- Senior Compliance Officer and Manager - Marketing Compliance Unit, ING Investment Management @ (December 2009 - July 2012)
- Head of Global Marketing Compliance @ (July 2004 - September 2009)
- Senior Marketing Compliance Analyst @ (February 2002 - July 2004)
- Project Manager and Business Analyst @ (June 1999 - October 2001)
- Investment and Banking Product Specialist @ (April 1997 - January 1999)
- Account Officer @ (September 1995 - April 1997)
- Junior Portfolio Manager @ i.a Rabinowitz Merchant Bankers (January 1995 - January 1995)
David Chung Education
- Salve Regina University
MA (International Relations)
2003-2005 - Manhattan University
MBA, Marketing Management
1997-1999 - The City College of New York
BA (Interdisciplinary Liberal Arts Studies)
1993-1995
David Chung Skills
- FINRA
- Mutual Funds
- Securities
- Investments
- Investment Advisory
- Investment Management
- Financial Services
- Financial Markets
- Project Management
- Alternative Investments
- Hedge Funds
- Investment Strategies
- Wealth Management
- Securities Regulation
- Derivatives
- Regulatory Requirements
- Regulatory Affairs
- Social Media
- Private Equity
- Employee Training
- Problem Solving
- Interpersonal Skills
- Presentation Skills
- Creative Problem Solving
- Marketing Compliance
- Series 24
- Global Regulatory Compliance
- Compliance Training
- Regulatory Guidelines
- Regulatory Analysis
- Code of Ethics
- Regulatory Policy
- Broker-Dealer Compliance
- Private Placements
- Investment Advisers Act
- GIPS Compliance
- E.U. Markets in Financial Instruments Directive (MiFID)
- Compliance
- Sales Practices Compliance
- Social Media Compliance
- Gifts and Entertainment Compliance
- Personal Trading Compliance
- Written Supervisory Procedures
- Annual Compliance Testing
- Sales Literature Review
- Regulation BI
- Business Communications
- Relationship-builder with Unsurpassed Interpersonal Skills
- Legal Compliance
- ETFs
- Banking
- Fixed Income
- Trading
- Equities
- Regulatory Documentation
- Policy Analysis
- AML
- Anti Money Laundering
- Series 7
- Broker Dealer Compliance
- e.u. Markets in Financial Instruments Directive Mifid
- e.u. Markets in Financial Instruments Directive
David Chung Summary
- David Chung, based in New York, NY, US, is currently a Chief Marketing Principal at UBS. David Chung brings experience from previous roles at AllianceBernstein, PIMCO, Barclays and ING. David Chung holds a 2003 - 2005 MA in International Relations @ Salve Regina University. With a robust skill set that includes FINRA, Mutual Funds, Securities, Investments, Investment Advisory and more. David Chung has 3 emails and 1 mobile phone numbers on RocketReach.
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