Brent P. Cohen

Executive Director and Americas Financial Crimes Counsel UBS

Brent P. Cohen is Executive Director and Americas Financial Crimes Counsel at UBS where he provides legal advisory coverage on Anti-Money Laundering, Anti-Bribery and Corruption and Economic Sanctions related matters for UBS’s Consolidated U.S. Operations.  Prior to joining UBS, Mr. Cohen was the U.S Head of Financial Crime Compliance at RBC Capital Markets, LLC responsible for oversight of AML, sanctions and the financial crime program for the institutional trading business, investment banking, corporate banking and the Royal Bank of Canada-World Financial Center branch.  Before RBC Capital Markets LLC, Mr. Cohen served as the Director of AML Compliance within FINRA’s Enforcement Department. His primary responsibilities included assisting with anti-money laundering issues arising in investigations and examinations, as well as advising staff FINRA-wide on issues involving the handling of suspicious activity reports (SARs).  Prior to his time at FINRA, Mr. Cohen worked at Goldman, Sachs & Co. and UBS Financial Services Inc.  Mr. Cohen received his B.A. from the State University of New York at Albany, from which he graduated summa cum laude, and his J.D., with honors, from the University of North Carolina School of Law.