John Falgia
About John Falgia
John Falgia serves as the Operational Risk Officer for Global Markets Execution Services at UBS in New York, a position he has held since 2020. He has a diverse background in finance, having worked at notable firms such as Deutsche Bank, Goldman Sachs, and Bear Stearns, and holds a Bachelor of Arts in Accounting from St. John's University and a CFA designation.
Work at UBS
John Falgia has been serving as the Operational Risk Officer for Global Markets Execution Services at UBS since 2020. His role is based in New York, New York, where he has contributed to the firm's operational risk management strategies. Falgia's responsibilities include identifying and mitigating risks associated with trading operations, ensuring compliance with regulatory requirements, and enhancing the overall risk framework within the organization.
Previous Employment History
Prior to joining UBS, John Falgia held various positions in the financial sector. He worked at Bear Stearns & Co. as a Derivative Product Analyst from 1996 to 1998. He then moved to Goldman Sachs, where he served as a Senior Financial Analyst from 1998 to 2000. Falgia's career continued at Deutsche Bank, where he held multiple roles, including COO of the Institutional Client Group Equities - Americas and Director of Corporate Access from 2010 to 2018. He also worked at Wells Fargo as COO of Equities Sales & Trading from 2005 to 2010, and briefly at AdvisoryCloud as an Advisor in 2019.
Education and Expertise
John Falgia earned a Bachelor of Arts in Accounting from St. John's University. He furthered his education by achieving the Chartered Financial Analyst (CFA) designation from the CFA Institute. Falgia possesses strong skills in managing mutual funds, ETFs, alternatives, and hedge funds. He has expertise in creating Management Information Systems (MIS) and Key Performance Indicators (KPIs), as well as extensive experience in electronic trading and derivatives within capital markets.
Professional Skills and Mentorship
John Falgia is recognized for his ability to act as a strategic partner to senior business leaders. He engages with various stakeholders to identify, assess, and create action plans for resolving issues and executing new business opportunities. Falgia is also known for his mentorship to junior team members, fostering their professional development and enhancing team performance.