Nicholas Brookes
About Nicholas Brookes
Nicholas Brookes serves as the Deputy Chief AML Officer for Wealth Management Americas at UBS, bringing over 20 years of experience in financial crime and reputational risk management. His extensive background includes senior roles at notable firms such as Goldman Sachs, FTI Consulting, and Credit Suisse.
Current Role at UBS
Nicholas Brookes serves as the Deputy Chief AML Officer for Wealth Management Americas at UBS. He has held this position since 2020, contributing to the firm's efforts in managing financial crime and reputational risk. His role involves overseeing compliance and implementing strategies to mitigate risks associated with anti-money laundering within the wealth management sector.
Previous Experience in Financial Services
Brookes has over 20 years of experience in financial crime and reputational risk management. Prior to his current role at UBS, he worked at several prestigious financial institutions. He was an Executive Director/Vice President at Goldman Sachs from 2015 to 2016, a Managing Director at FTI Consulting from 2016 to 2020, and held various positions at Credit Suisse, ING Bank, Morgan Stanley, and Royal Bank of Scotland.
Educational Background
Nicholas Brookes has an extensive educational background in criminology and political science. He earned a Master’s degree in Criminology from John Jay College (CUNY) and also studied Criminology at The London School of Economics and Political Science. Additionally, he holds a Bachelor’s degree in Political Science and History from the University of Rochester. He has furthered his education with a Diploma in Anti-Money Laundering from Bayes Business School.
Expertise in Financial Crime Management
Brookes has developed a proven track record as a senior leader in financial crime management. His expertise spans multiple business lines and regions, allowing him to effectively address complex financial crime and reputational risk issues. His bilingual capabilities enhance his proficiency in managing international challenges in this field.
Professional Development and Certifications
In addition to his formal education, Nicholas Brookes has pursued professional development in specialized areas. He studied Terrorism Studies at John Jay College (CUNY) and achieved a Master’s certificate. This diverse educational background supports his comprehensive understanding of the complexities involved in financial crime and compliance.