Cynthia Fincher MBA, B.S., Ccrp, Cams
About Cynthia Fincher MBA, B.S., Ccrp, Cams
Cynthia Fincher is a Director at UBS with extensive experience in operational and enterprise risk management. She has held various roles in financial institutions, including VP of Standards & Risk at HSBC, and possesses an MBA and multiple certifications in compliance and risk management.
Current Role at UBS
Cynthia Fincher serves as a Director at UBS, a position she has held since 2020. In this role, she focuses on operational and enterprise risk management, ensuring compliance with regulatory standards. She actively collaborates with both internal and external partners to mitigate risk and safeguard assets, maintaining a strategic alignment with the company's objectives.
Previous Experience at HSBC
Prior to her role at UBS, Cynthia Fincher worked at HSBC as Vice President of Standards & Risk from 2013 to 2018. During her five years at HSBC, she was responsible for overseeing risk management standards and ensuring compliance with various regulatory requirements. Her experience at HSBC contributed to her expertise in operational risk and compliance.
Education and Expertise
Cynthia Fincher holds an MBA in International Business from Saint Peter's College, which she completed from 1999 to 2001. She also earned a B.S. in Business Administration from Lincoln University. Additionally, she studied Event Leadership at Temple University, obtaining a Certificate in Event Leadership from 2004 to 2006. Her educational background supports her skills in P&L management and knowledge of SOX, GAAP, and GAAS standards.
Professional Skills and Specializations
Cynthia Fincher possesses a range of professional skills, including expertise in compliance with regulatory bodies such as the Federal Reserve, FINRA, SEC, MSRB, ISE, CFTC, and Dodd-Frank. She specializes in operational and enterprise risk management, with a focus on auditing, accounting, and financial reporting. Additionally, she has experience in anti-money laundering (AML/BSA), know your customer (KYC) processes, fraud prevention, and OFAC compliance.
Career History Overview
Cynthia Fincher has a diverse career history in the financial sector. Before her tenure at UBS, she held various positions including Consultant at Natixis for one month in 2011, Vice President of Operational Risk Control at Credit Suisse from 2006 to 2007, and Control Manager at Oppenheimer Capital from 1994 to 1997. This extensive experience has equipped her with a comprehensive understanding of risk management and compliance.