Jody Ne Jaime
About Jody Ne Jaime
Jody Ne Jaime is the Director of Compliance Registrations at UBS Investment Bank, where he has worked since 2008. He has extensive experience in compliance and risk management, having previously held positions at Lehman Brothers and UBS.
Current Role at UBS
Jody Ne Jaime serves as the Director of Compliance Registrations at UBS Investment Bank, a position held since 2008. In this role, Jody has developed and implemented reports aimed at mitigating regulatory exposure while enhancing effective reporting to senior management. Jody manages a team of three compliance officers, focusing on productivity, quality, and personnel development. This position is based in Stamford, CT.
Previous Experience at Lehman Brothers
Prior to joining UBS, Jody Ne Jaime worked at Lehman Brothers for a total of seven years. Initially, Jody served as the Assistant Manager of the Sales and Review Group from 1993 to 1995. Following this role, Jody advanced to the position of Vice President & Manager, where responsibilities included overseeing compliance and risk assessment from 1995 to 2000. Both roles were based in New York, NY.
Experience at UBS Investment Bank
Before assuming the role of Director of Compliance Registrations, Jody Ne Jaime worked at UBS Investment Bank as the Director of Risk Assessment & Review from 2000 to 2008. This position involved providing advisory support and compliance expertise while acting as a liaison between technology, operations, and business units. Jody's tenure at UBS spans over 16 years, contributing to the firm's compliance and risk management strategies.
Education and Academic Background
Jody Ne Jaime earned a Bachelor of Science (B.S.) degree in Business/Managerial Economics from Southern Connecticut State University. This educational background provides a foundation for Jody's expertise in compliance and risk management within the financial services industry.