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Ursula Clay

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Ursula Clay

Senior Managing Director, Chief Compliance Officer | Nearwater Capital

New York, New York, United States

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Ursula Clay

Summary

Ursula Clay is a highly accomplished Chief Compliance Officer and Senior Managing Director at Nearwater Capital, specializing in regulatory compliance within the financial sector. With over two decades of experience, she has held significant roles in top-tier financial institutions and regulatory bodies, including FINRA and Barclays. Ursula is recognized for her strategic vision and ability to operationalize complex compliance frameworks, ensuring adherence to evolving regulations. She has a proven track record in building strong relationships with regulators and stakeholders, which is critical in her role. Her expertise spans various areas including risk management, internal investigations, and securities regulation. Ursula's leadership extends to managing cross-functional teams and driving organizational change. Her educational background includes a J.D. from Fordham Law School and a B.A. in International Relations from Syracuse University. Outside of her professional life, she is passionate about mentoring the next generation of compliance professionals, highlighting her commitment to the industry.

General

Specialist

Technical Background

Leadership Experience

Long-Term Tenure

Professional interests

Leadership Development

Emerging Technologies

Innovation

Organisational experience

Corporate Experience

Consulting Experience

Ursula Clay

Work Experience

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Senior Managing Director, Chief Compliance Officer at

Nearwater Capital

December 2021 - Present

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Senior Vice President, Chief of Staff / Head of Core Functions, Member Supervision at

FINRA

April 2019 - December 2021

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Managing Director, Compliance at

Exos Securities Llc Fintech Startup Broker Dealer

January 2017 - April 2019

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Principal at

South Central Texas Health Care

June 2014 - January 2017

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Director at

BARCLAYS CAPITAL (CAYMAN) LIMITED

January 2014 - June 2014

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Executive Director - Compliance Department at

MORGAN STANLEY ADMINISTRADORA DE CARTEIRAS S/A

January 2000 - December 2013

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Securities Associate at

Bressler, Amery & Ross, P.C.

January 1997 - January 2000

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Compliance Department at

Morgan Stanley Dean Witter

December 1995 - December 1997

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Ursula Clay

Education

Fordham Law School, Doctor Of Law (J.D.)

January 1995

Syracuse University, Bachelor Of Arts (Ba)

January 1990

Frequently Asked Questions about Ursula Clay

What is Ursula Clay email address?

Ursula Clay's primary email address is ***********@nearwatercapital.com. To view the full verified email and additional contact details, sign up for free with Muraena.

What company does Ursula Clay work for?

Ursula Clay is a Senior Managing Director, Chief Compliance Officer at Nearwater Capital, a company specializing in Monetary Authorities-Central Bank.

Where Ursula Clay graduated from?

Ursula Clay holds a degree in from Fordham Law School.

How can I directly contact Ursula Clay?

To contact Ursula Clay directly, you can use the email address ***********@nearwatercapital.com. Complete contact information is available upon registration with Muraena.

Who is Ursula Clay?

Ursula Clay is a highly accomplished Chief Compliance Officer and Senior Managing Director at Nearwater Capital, specializing in regulatory compliance within the financial sector. With over two decades of experience, she has held significant roles in top-tier financial institutions and regulatory bodies, including FINRA and Barclays. Ursula is recognized for her strategic vision and ability to operationalize complex compliance frameworks, ensuring adherence to evolving regulations. She has a proven track record in building strong relationships with regulators and stakeholders, which is critical in her role. Her expertise spans various areas including risk management, internal investigations, and securities regulation. Ursula's leadership extends to managing cross-functional teams and driving organizational change. Her educational background includes a J.D. from Fordham Law School and a B.A. in International Relations from Syracuse University. Outside of her professional life, she is passionate about mentoring the next generation of compliance professionals, highlighting her commitment to the industry.

Ursula`s contact details

mail

***********@nearwatercapital.com

Colleagues

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Andrew Clark

Managing Director | Head of Operations

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Robert Pascuzzi

CFO and Managing Director

Theo Fleishman

Managing Director

James Peterson

Managing Partner

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