Stefanie Stannard
About Stefanie Stannard
Stefanie Stannard serves as the Executive Director and Business Risk Manager at UBS, bringing extensive experience in regulatory matters and risk management. She has held various roles in the financial industry, including positions at FINRA, HSBC, and J.P. Morgan, and holds advanced degrees in finance and law.
Current Role at UBS
Stefanie Stannard serves as the Executive Director and Business Risk Manager at UBS since 2020. In this role, she focuses on managing business risks and ensuring compliance with regulatory standards. Her responsibilities include balancing the needs of clients and financial advisors while adhering to laws and regulations. This position builds on her extensive experience in regulatory matters and supervision, contributing to effective wealth management strategies.
Previous Experience at UBS
Prior to her current role, Stefanie Stannard worked at UBS in various capacities. From 2019 to 2020, she was the Regulatory and Business Risk Lead for US Wealth Management. Additionally, she served as the Financial Crimes Compliance Advisor - Director from 2017 to 2019. These roles allowed her to develop frameworks that improve business processes and mitigate risks within the organization.
Experience at FINRA
Stefanie Stannard has been an Arbitrator at the Financial Industry Regulatory Authority (FINRA) since 2018. In this capacity, she applies her legal and regulatory expertise to resolve disputes within the financial industry. She previously worked at FINRA as an Associate Principal Examiner from 2012 to 2013, where she gained insights into regulatory compliance and examination processes.
Education and Expertise
Stefanie Stannard holds a Master of Science in Enterprise Risk Management from Columbia University. She also earned a Bachelor of Business Administration in Finance from Western Michigan University - Haworth College of Business. Additionally, she obtained a Juris Doctorate in Investments and Securities from the University of Detroit Mercy School of Law. Her educational background complements her extensive experience in compliance and risk management.
Career Background
Stefanie Stannard has a diverse career in the financial services industry. She worked at HSBC Retail Banking and Wealth Management as the US Head of Sales Quality and Conduct Risk from 2013 to 2017. Earlier in her career, she held the position of Supervisory Manager at J.P. Morgan from 2007 to 2012. This varied experience has provided her with a comprehensive understanding of both the first and second lines of defense in risk management.