Scott W. Anderson

Managing Director Americas Head of Investment Bank Compliance & Operational Risk Control , UBS

Scott Anderson is the Americas Head of Compliance & Operational Risk Control for the Investment Banking Division of UBS, as well as the Chief Compliance Officer for UBS Securities LLC.   Mr. Anderson joined UBS in this capacity in 2015, from Fidelity Investments where he was a Senior Vice President and Head of Compliance for the Fidelity Capital Markets division.  Mr. Anderson was previously employed by UBS for twelve years in roles within Legal and Compliance, and also worked as an attorney in the Legal Department of JP Morgan Chase.   Earlier in his career, Mr. Anderson served as an attorney in Nasdaq’s Office of General Counsel and the FINRA (then NASD) Enforcement Department.

 

Mr. Anderson earned his Bachelor of Arts from the University of Richmond, his Juris Doctor from the University Of Tennessee College of Law, and a Master of Laws in Securities and Financial Regulation from Georgetown University Law School.