Resumes
Resumes
![Charles Mathys Photo 1 Charles Mathys Photo 1](/img/not-found.png)
Vice President, Ethics Office
View pageLocation:
4927 Cross St, Downers Grove, IL 60515
Industry:
Financial Services
Work:
Ubs O'connor Oct 2003 - Nov 2012
Chief Compliance Officer
Nuveen Oct 2003 - Nov 2012
Vice President, Ethics Office
Ubs Dec 2000 - Oct 2003
Assistant General Counsel
Ubs Dec 1998 - Dec 2000
Compliance Officer
Chief Compliance Officer
Nuveen Oct 2003 - Nov 2012
Vice President, Ethics Office
Ubs Dec 2000 - Oct 2003
Assistant General Counsel
Ubs Dec 1998 - Dec 2000
Compliance Officer
Education:
Chicago - Kent College of Law, Illinois Institute of Technology 1992 - 1995
Doctor of Jurisprudence, Doctorates Depaul University 1988 - 1990
Master of Business Administration, Masters, Finance Knox College 1984 - 1988
Bachelors, Bachelor of Arts, Economics, Political Science Chicago - Kent College of Law
Doctor of Jurisprudence, Doctorates Depaul University 1988 - 1990
Master of Business Administration, Masters, Finance Knox College 1984 - 1988
Bachelors, Bachelor of Arts, Economics, Political Science Chicago - Kent College of Law
Skills:
Hedge Funds
Securities
Series 7
Equities
Asset Managment
Fund of Funds
Investment Advisory
Mutual Funds
Alternative Investments
Trading
Securities Regulation
Series 24
Investments
Aml
Investment Company Act
Securities
Series 7
Equities
Asset Managment
Fund of Funds
Investment Advisory
Mutual Funds
Alternative Investments
Trading
Securities Regulation
Series 24
Investments
Aml
Investment Company Act