Mark Arnold
Head of Field Compliance, Wealth Management US, UBS
Mark is the Head of Field Compliance for Wealth Management US at UBS. Mark is responsible for leading the compliance team that provides oversight to the wealth management organization impacting the Financial Advisor, Support staff, and Supervisor populations, with expertise in topics such as Regulation Best Interest, conflicts of interest, derivatives, cross border, employee conduct, among others. During his tenure at UBS, Mark has held senior roles covering Compliance and Operational Risk for its International Wealth Management business, Capital Markets, Investment Products and Public Finance departments, and served as the Chief Compliance Officer of its Futures Commission Merchant (FCM).
Prior to joining UBS, Mark worked at the National Futures Association (NFA), where he was an auditor and investigator, handling cases such as abusive sales practices, fraudulent trading schemes, and other types of fraud and misconduct at industry firms.