Karen Aluise is the head of compliance for Prime Brokerage, Securities Lending, Finance, and Operations at UBS Securities LLC. She manages a compliance team that offers oversight, training, and advisory services to businesses.
Before joining UBS, Aluise served as vice president and associate general counsel for Charles Schwab & Co., Inc., providing legal and regulatory advice to Schwab’s capital markets and sales and trading businesses. Previously, she worked at the Boston Stock Exchange, Inc., as vice president, legal and regulatory. She drafted exchange rules and provided interpretations to member firms; analyzed execution quality among specialists; implemented the competing specialist program; and managed the stock allocation process.