Chris Charnock
About Chris Charnock
Chris Charnock serves as the Managing Director of Compliance and Operational Risk Control for Australia and New Zealand at UBS, a position he has held since 2020. He has extensive experience in compliance roles across various financial institutions, including J.P. Morgan and Westpac Group.
Work at UBS
Chris Charnock has held the position of Managing Director, Compliance & Operational Risk Control for Australia and New Zealand at UBS since 2020. Based in Sydney, New South Wales, he has been responsible for overseeing compliance and operational risk management within the organization. His role involves ensuring that UBS adheres to regulatory requirements and internal policies, contributing to the overall governance framework of the firm.
Previous Experience in Compliance
Before joining UBS, Chris Charnock served as the Chief Compliance Officer for Westpac Group from 2017 to 2018. He also held the position of Global Head of Institutional Bank Compliance at Westpac from 2014 to 2018. His extensive experience in compliance roles includes a significant tenure at J.P. Morgan, where he worked as Managing Director of Compliance from 1997 to 2014.
Education and Expertise
Chris Charnock studied at the University of Adelaide, where he earned a Bachelor of Laws (LLB) with a focus on Corporate Law from 1985 to 1990. He also obtained a Bachelor of Economics, specializing in Accounting and Finance, during the same period. This educational background provides him with a strong foundation in both legal and financial principles, enhancing his expertise in compliance and risk management.
Early Career at Andersons Solicitors
Chris Charnock began his professional career as a Solicitor at Andersons Solicitors in Adelaide, Australia, where he worked for one year from 1991 to 1992. This early experience in legal practice contributed to his understanding of regulatory frameworks and compliance issues, which he has applied throughout his subsequent roles in the financial services industry.