Michael Hansen
Nashville,TN
Overview
12
12
years of professional experience
Work History
Associate Director, Business Risk Analyst
UBS Investment Bank
Nashville, TN
01.2024 - Current
- Engaged with the investment bank COO team to oversee and enhance execution of supervision responsibilities.
- Executed key procedural controls to proactively mitigate supervision exceptions and maintain aging exceptions below threshold
- Functioned as primary liaison for IB BRM Americas, coordinating extensive supervisory initiatives with multiple cross-functional partners.
- Managed and contributed to the development of the Supervisory Control Portal (SCP) in order to help enhance the supervision process
- Delivered daily support for fielding queries from front office supervisors, business management, control function personnel, and audit/regulators
Authorized Officer, Operations Product Specialist
UBS Wealth Management
Nashville, TN
06.2020 - 01.2024
- Team lead of 12 members that supports daily functions and workflows for the ACCESS, SWP and AAP advisory platforms
- Supervise high risk workflows that are necessary for the Advisory platform in order to ensure risk is mitigated and the processes are completed accurately
- Proficient in ACCESS and UMA platforms to lend support to internal Financial Advisor teams to ensure an account is properly enrolled when submitted with unique specifications
- Collaborate and coordinate efforts with other departments to process trade corrections when an account is associated with erroneous trading activity
- Assist with external money manager requests, inquiries and challenges in order to ensure timely and accurate trade executions
Senior Client Service Associate
UBS Wealth Management
Chicago, IL
07.2018 - 06.2020
- Ensured timely and accurate execution of trades, payments, wires, and other cash management related services
- Assisted in creating financial planning cash flow plans through the use of the Financial Goal Analysis and Preferred Plan software in ConsultWorks
- Prepared key presentations and reports for the Financial Advisors that includes account performance, asset allocation and individual fund analysis for our clients
- Implemented an organized red carpet process to properly and effectively correspond with new clients during the onboarding phase
- Provided operations support by maintaining the client's books and records, process account transfers, tax document retrieval, and processed corporate actions
Operations Manager
LPL Financial
Chicago, IL
06.2014 - 07.2018
- Forecasted retirement and goal analysis projections for high net worth clients using the financial software WealthVision powered by eMoney
- Streamlined and enhanced the firms fiduciary oversight of several multimillion dollar 401(k) plans in which the firm had a consultative role in
- Conducted onsite 401(k) enrollment meetings in order to educate the company's employees on the benefits of utilizing a 401(k)
- Assessed client accounts by analyzing asset allocation, performance and investment holdings
- Performed investment due diligence on the funds and created an investment recommended list for the team
- Executed solicited and unsolicited trades for all of the assets under management valued at over $150 million
- Monitored client accounts for fixed income redemptions and coordinated redeployment of capital
- Collaborated with tax professions in reporting investment income for clients by provided cost basis calculations
Education
Bachelor of Science - Financial Planning
University of Illinois, Urbana-Champaign
05-2014
Skills
- CERTIFIED FINANCIAL PLANNER(TM)
- FINRA Series 63
- FINRA Series 7
Professional Development
National Grants Management Association – Intro to Grants Management Certificate
Completed March 2026
- Designed to equip individuals with the essential foundational skills and knowledge needed to navigate the complexities of grant administration.
Arizona State University - Conservation Finance Professional Certificate
In Progress
- Trains individuals to structure conservation finance mechanisms that preserve ecosystems, support community resilience, and align financial returns with environmental impact.
Timeline
Associate Director, Business Risk Analyst
UBS Investment Bank
01.2024 - Current
Authorized Officer, Operations Product Specialist
UBS Wealth Management
06.2020 - 01.2024
Senior Client Service Associate
UBS Wealth Management
07.2018 - 06.2020
Operations Manager
LPL Financial
06.2014 - 07.2018
Bachelor of Science - Financial Planning
University of Illinois, Urbana-Champaign