Samuel M. Rivera, Esq.
About Samuel M. Rivera, Esq.
Samuel M. Rivera, Esq. serves as the Director of Regulatory Compliance Counsel at UBS in Zurich, Switzerland, where he has worked since 2017. He has extensive experience in regulatory compliance and legal operations, having held various positions in organizations across the United States.
Work at UBS
Samuel M. Rivera serves as the Director of Regulatory Compliance Counsel at UBS since 2017. He is based in Zurich, Switzerland. In this role, he oversees compliance with regulatory requirements and ensures that the organization adheres to legal standards. His experience in regulatory compliance is integral to UBS's operations in the financial sector.
Previous Experience
Prior to his current role at UBS, Rivera worked at Constellation Advisers, LLC as a Senior Manager from 2016 to 2017 in New York, United States. He also held a position at NASD, where he focused on Regulatory Operations and Shared Services, Litigation and Policy from 2013 to 2016 in Washington, D.C. Additionally, he worked as a Business Manager and Assistant Legal Counsel at Equinox Funds from 2011 to 2013 in Princeton, New Jersey.
Education and Expertise
Rivera earned his Juris Doctor (J.D.) degree from the Cardozo School of Law, where he studied Constitutional Law and Civil Rights from 2007 to 2010. He also holds a Bachelor of Arts (B.A.) in History from St. Francis College. His academic background provides a solid foundation for his work in regulatory compliance and legal counsel.
Board Involvement
Since 2012, Rivera has served as the Vice-chair of the Board of Trustees at Williamsburg Charter High School in Brooklyn, New York. His involvement in the board reflects his commitment to educational governance and community service.
Teaching Experience
In 2009, Rivera worked as a Legal Writing Teaching Assistant at Benjamin N. Cardozo School of Law in New York for seven months. This role involved assisting law students in developing their legal writing skills, contributing to their academic success.