William Preston
About William Preston
William Preston is an Associate Director of Trade Surveillance in Asset Management at UBS, with a strong background in compliance and trade surveillance. He has held various positions in the financial sector, including roles at Aegon Asset Management and Alliance Trust Investments, and possesses expertise in regulatory compliance, particularly MIFID II.
Current Role at UBS
William Preston serves as Associate Director in Trade Surveillance within the Asset Management division at UBS. He has held this position since 2021, working from Larbert, Scotland. In this role, he focuses on ensuring compliance and monitoring trading activities to align with regulatory standards.
Previous Experience in Asset Management
Prior to his current role, William Preston worked at Aegon Asset Management as Compliance Manager - Investment from 2019 to 2021 in Edinburgh, United Kingdom. He also held positions at Alliance Trust Investments as Head of Dealing from 2011 to 2017 and as Dealing Manager at Alliance Trust Savings from 2017 to 2019, both in Edinburgh. His experience spans various aspects of asset management, emphasizing compliance and trade surveillance.
Education and Professional Qualifications
William Preston completed his secondary education at Thomas Muir High School and Allan Glens School. He is an associate member of the Chartered Institute for Securities & Investment (CISI) and holds multiple certifications, including the UKSIP Investment Management Certificate and the CISI Certificate in Global Financial Compliance.
Expertise in Compliance and Trade Surveillance
William Preston possesses a comprehensive understanding of global equities trading, with a specific focus on compliance and trade surveillance. His expertise includes regulatory change and compliance monitoring, particularly concerning MIFID II. He has developed strong skills in team management and development within the asset management and retail investment sectors.
Career Progression in Financial Services
William Preston's career in financial services began at Seymour Pierce as a Sales Trader from 2008 to 2011. He then worked at Altium Securities as an Equity Sales Trader from 2004 to 2008 and at Legg Mason as a Senior Dealer from 2000 to 2003. His diverse roles have contributed to his extensive knowledge and experience in the industry.