David Kwak
About David Kwak
David Kwak serves as the Associate Director of Compliance & Operational Risk Control at UBS, where he has worked since 2018. He holds a JD from Fordham University School of Law and has experience in regulatory compliance and governance frameworks.
Current Role at UBS
David Kwak serves as the Associate Director of Compliance & Operational Risk Control at UBS. He has held this position since 2018, contributing to the firm's compliance and risk management strategies in the Greater New York City Area. His responsibilities include overseeing compliance initiatives and ensuring adherence to regulatory requirements.
Previous Experience at UBS
Before his current role, David worked at UBS as an Authorized Officer and Team Lead for the Americas Regulatory Team from 2014 to 2017. In this capacity, he managed regulatory compliance efforts and led a team focused on maintaining operational standards within the organization.
Education and Expertise
David Kwak earned his Juris Doctor (JD) from Fordham University School of Law, where he studied from 2008 to 2011. Prior to that, he obtained a Bachelor of Arts in Political Science, graduating Cum Laude from the State University of New York at Stony Brook between 2003 and 2007. His educational background provides a strong foundation for his expertise in compliance and operational risk.
Project Management Experience
David successfully managed a project that established a governance framework for the US Rules Program. This initiative included the development of testing programs for various regulatory categories, such as Broker Dealer, Swap Dealer, Futures Commission Merchant, and Volcker. His project management skills are evident in his ability to collaborate with both external counsel and internal subject matter experts.
Internship Experience
In 2013, David Kwak completed a two-month internship at Elara Capital, where he focused on compliance and legal matters. This experience contributed to his understanding of regulatory frameworks and compliance practices within the financial sector.