Corey Traub
About Corey Traub
Corey Traub serves as the Executive Director and Head of Americas Financing Services Compliance at UBS, where he has worked since 2011. He has extensive experience in compliance, having previously held positions at Goldman Sachs and CME Group, and is actively involved in industry committees and conferences.
Work at UBS
Corey Traub has served as the Executive Director and Head of Americas Financing Services Compliance at UBS since 2011. In this role, he oversees compliance strategies and initiatives for complex financing businesses, ensuring adherence to regulatory requirements. His tenure at UBS has spanned over 13 years, during which he has developed a successful compliance program tailored to the evolving regulatory landscape.
Previous Experience at Goldman Sachs
Prior to his current position, Corey Traub worked at Goldman Sachs as a Futures Compliance Officer from 2006 to 2011. His role involved ensuring compliance with regulatory standards in the futures market, contributing to the firm's overall risk management and compliance strategies. This five-year experience in the Greater New York City Area equipped him with valuable insights into the complexities of financial compliance.
Background in Market Regulation at CME Group
Corey Traub began his career as a Market Surveillance Analyst in the Market Regulation Department at CME Group from 2004 to 2006. In this position, he was responsible for monitoring trading activities to ensure compliance with market regulations. His work in the Greater New York City Area laid the foundation for his expertise in regulatory compliance within the financial sector.
Education and Expertise
Corey Traub holds a Master of Business Administration (MBA) in Finance and Financial Management Services from Baruch College, where he studied from 2009 to 2011. He also earned a Bachelor's degree in Finance and Financial Management Services from the University of Colorado Boulder, completing his studies from 1999 to 2003. His educational background provides a strong foundation for his expertise in compliance and financial management.
Industry Involvement and Speaking Engagements
Corey Traub is an active member of the SIFMA Prime Brokerage & Securities Lending Industry Committee and the FIA L&C Executive Committee. He is regularly featured as a panel moderator and speaker at major industry conferences, including the Annual FIA L&C conference in Washington D.C. His involvement in these committees and events highlights his commitment to advancing compliance practices within the financial services industry.