Frederic L. Greenbaum

Executive Director and Chief Operating Officer
Americas Compliance, UBS AG

Frederic Greenbaum has served as the Compliance Chief Operating Officer/Head of Regulatory Inquiries and Relations at UBS Investment Bank since 2009. Through this role, Mr. Greenbaum manages strategic initiatives, develops oversight plans for the Americas Compliance function, and manages the compliance reporting for Americas, including the preparation of the Annual Report on Supervision and Compliance Efforts. He started with UBS Securities in 2000 as the head of surveillance for the compliance department.

Mr. Greenbaum previously served as director of surveillance at Donaldson, Lufkin & Jenrette, as well as regional head of Compliance at Citigroup in their Hong Kong office, and emerging markets compliance officer for Citigroup in New York. He also served as a compliance officer for Salomon Brothers in New York.

Mr. Greenbaum received his bachelor’s degree in business administration and economics from the University at Albany and his MBA in finance and international business from the Leonard N. Stern School of Business of New York University.

IFMR Advisory Council Members