Nicholas Brookes Email & Phone Number
Deputy Chief AML Officer, Wealth Management Americas @ UBS Group AG
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Nicholas Brookes Location
- New York, NY, US
Nicholas Brookes Work
- Deputy Chief AML Officer, Wealth Management Americas @ (January 2020 - Present)
- Managing Director - Global Risk and Investigations Practice @ (December 2016 - January 2020)
- Executive Director and Vice President - Business Intelligence Group @ (January 2015 - December 2016)
- (Executive) Director - Deputy Global Head Financial Intelligence Group @ (February 2010 - January 2015)
- Manager - Compliance Officer @ (March 2009 - February 2010)
- Manager - Global Wholesale Banking AML Officer @ (July 2006 - February 2009)
- Analyst - Group AML Officer @ (November 2005 - July 2006)
Nicholas Brookes Education
- Cornell Law School
Master of Science (Legal Studies, General)
2026-2028 - The London School of Economics and Political Science (LSE)
(Criminology)
2007-2013 - Bayes Business School
Diploma (Anti-Money Laundering)
2005-2006 - John Jay College (CUNY)
MA (Cert) (Terrorism Studies)
2003-2004 - John Jay College (CUNY)
MA (Criminology)
2002-2004 - University of Rochester
BA (Political Science, History)
1996-2000 - South Island School (Hong Kong)
A Levels ((Philosophy; Economics; Literature))
1994-1996 - Lancing College 1991-1994
Nicholas Brookes Skills
- AML
- Enhanced Due Diligence
- Political Risk Analysis
- Country Risk Analysis
- Anti-corruption
- Sanction
- Due Diligence
- FINRA
- Financial Services
- Regulations
- Emerging Markets
- Private Investigations
- Securities
- Hedge Funds
- Capital Markets
- Anti Money Laundering
- Financial Risk
- Risk Management
- Fixed Income
- Management
- Investment Banking
- Asset Management
- Oversight
- Spanish
- International
- Policy
- Risk
- Google Groups
- Ots
- Arc
- Financial Reporting
- Contractual Agreements
- Compliance
- Market
- Ing
- Criminology
- England
- North American
- KYC
- Economics
- Coordinated
- Credit
- London
- Investigation
- Political Science
- Alerts
- Business Lines
- Business Strategy
- Risk Assessment
- Internal Controls
- Responsibility
- Steering
- CASS
- Occ
- Intelligence
- Mlro
- LATAM
- History
- IRIS
- Non Executive
- Risk Analysis
- System Monitoring
- Acting
- Training
- Fdic
- Philosophy
- Research
- Public Safety
- Frb
- Screening
- Finance
- Legal
- Portfolio Management
- Testing
- Wholesale Banking
- New York
- System
- Thesis
- Usa
- Client Assessment
- Outline
- Private Banking
- Business Intelligence
- Hong Kong
- Moscow
- SEC
- Banking
- Criminal Law
- Pep
- Investigations
- Marketing
- Reports
- Consulting
- Boutique
- Languages
- Coordination
- Reputational Risk
- Committees
- Teaching
- Lse
- Terrorist Financing
- Investigative Research
- Criminal Justice
- Country
- Anti Corruption
- Analysis
- Methodology
- Commercial Real Estate
- Scotland
- Ultra
Nicholas Brookes Summary
- Nicholas Brookes, based in New York, NY, US, is currently a Deputy Chief AML Officer, Wealth Management Americas at UBS. Nicholas Brookes brings experience from previous roles at FTI Consulting, Goldman Sachs, Credit Suisse and Morgan Stanley. Nicholas Brookes holds a 2026 - 2028 Master of Science in Legal Studies, General @ Cornell Law School. With a robust skill set that includes AML, Enhanced Due Diligence, Political Risk Analysis, Country Risk Analysis, Anti-corruption and more. Nicholas Brookes has 3 emails and 2 mobile phone numbers on RocketReach.
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Top UBS Group AG Employees
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Jason Chandler
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Jim Kennedy
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Callum Nieto
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Eugène del Cioppo
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Fernando Vita
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Francesca Giordana
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Malek Ghorbel
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Marc-Anthony Hourihan
Chairman Global Mergers and Acquisitions
New York, NY, US
Edmund Koh
Chairman UBS Asia Pacific
Singapore
Blake Hiltabrand
CEO and Global Head of UBS O’Connor
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Daniel Hunziker
CEO Pension Fund Credit Suisse Group (Switzerland)
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Stefanie Stannard
COO - GFIW and UHNW
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Nikunj Jha
CEO - UBS AG Mumbai Branch
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Tom Hall
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David Wildermuth
President UBS Americas Holdings LLC
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