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Mark is the Chief Compliance Officer of UBS Financial Services Inc., and is responsible for developing, implementing, and overseeing the compliance program to fulfill the firm’s regulatory obligations as a registered Futures Commission Merchant (FCM). In addition to responsibility for Derivatives Compliance within UBS Wealth Management Americas, Mark also advises the firm’s Wealth Management Research office. Prior to joining UBS, Mark worked at the NFA, the futures industry-wide self-regulatory organization. As a regulator, Mark oversaw examinations and investigations of futures brokerages and investment firms. Mark graduated from Loyola University Chicago with a Bachelor’s degree in Business Administration and Finance, and is Series 3 licensed.
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