Michael Lemos Email & Phone Number
US Head of Compliance - Unified Global Alternatives @ UBS Group AG
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Michael Lemos Location
- Hartford, CT, US
Michael Lemos Work
- 2024 -now US Head of Compliance - Unified Global Alternatives @
- 2020 -2024 Deputy CCO Real Estate and Private Markets, Head BD Compliance AM Americas @
- 2015 -2020 Director, Compliance @
- 2012 -2014 AVP and Chief Compliance Officer @
- 2006 -2011 Regional Compliance Director @
- 2005 -2006 Senior Compliance Consultant @
- 2004 -2005 Senior Compliance Consultant @
- 1999 -2004 Compliance Manager @
Michael Lemos Education
- Central Connecticut State University
Michael Lemos Skills
- Communication
- Series 7
- FIX Protocol
- Inspection
- Dealers
- Life Insurance
- Sungard
- Exams
- Oversight
- Corrective Actions
- Coordinated
- Scheduling
- State Laws
- Leadership
- Field Support
- Design
- New Hires
- Violations
- Regulations
- Regulatory Agencies
- Securities Laws
- System Monitoring
- Branches
- Project Management
- Code of Ethics
- Suitability
- Phoenix
- Securities
- RIA
- Supervision
- Compliance
- FINRA
- Accounting
- Asset Management
- Gifts
- Trips
- Travel
- Field Service
- Executive Management
- Towers
- Training
- Approvals
- Supervisory
- Surveillance
- Coordination
- Global Marketing
- Vendors
- Small Office
- Rules
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- Salesforce.com
- Policy
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- SEC
- Product Development
- Investments
- Point of Contact
- Asset Allocation
- Testing
- OPs
- Element
- Windows
- Sales and Marketing
- Overseeing
- Entertainment
- Due Diligence
- Management
- Finance
- Wellness
- Aid
- Trading
- Internal Audit
- Board of Directors
- Human Resources
- Auditing
- Net
- Reviews
- Continuing Education
- Compliance Procedures
- Policies and Procedures
- Written
- Meetings
- Delivery
- 24 Licensed
- Coordinate
- Legal
- Consulting
- Connecticut
- .NET
Michael Lemos Summary
- Michael Lemos, based in Hartford, CT, US, is currently a US Head of Compliance - Unified Global Alternatives at UBS. Michael Lemos brings experience from previous roles at UBS, Saybrus Partners and MetLife. Michael Lemos holds a Central Connecticut State University. With a robust skill set that includes Communication, Series 7, FIX Protocol, Inspection, Dealers and more. Michael Lemos has 4 emails and 4 mobile phone numbers on RocketReach.
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