Mark Carberry

Mark T. Carberry is  Executive Director, Compliance, U.S. Private Bank of J.P. Morgan, based in Chicago. Before his tenure with J.P. Morgan, Mark rejoined the Chicago law firm Neal, Gerber & Eisenberg LLP as a partner in its Securities & Commodities Litigation and Fund Formation & Investment Management Practice Groups after a ten-year tenure with UBS Wealth Management Americas, Legal & Compliance US. Mark has over 35 years of experience representing financial services entities and employees in a broad slate of civil, regulatory, and enforcement matters nationwide. His experience includes civil proceedings in arbitration forums and federal and state courts, conducting internal investigations, and defending regulatory and enforcement matters initiated by the SEC, CFTC, DOJ, FINRA, NYSE, CME, CBOT, NFA, and other regulators, exchanges, and self-regulatory bodies. Mark spent more than a decade with UBS in a series of senior legal roles, most recently as Counsel to its Private Wealth Management business group. Mark also served as Division Counsel, as well as the initial Head and Manager of the Central Legal Wealth Management Advisor Group US. Mark also served as a member of the Policy Review Committee, charged with the review, design, and implementation of workable compliance policies and procedures for UBS Wealth Management Americas. Mark was also head of the Conduct Review Committee, and held a FINRA Series 7 license. Following law school, Mark served as a law clerk to the Hon. Luther M. Swygert, United States Court of Appeals for the Seventh Circuit. Mark is also a frequent speaker at national and regional financial services industry legal and compliance conferences throughout the country.

6e. IA - Recommending Alternative or Complex Products (Intermediate)