FacultyFaculty/Author Profile

Suzanne Elovic

UBS
Executive Director, Americas Head of Regulatory Inquiries and Examinations
New York, NY, USA


Suzanne Elovic is the Head of Regulatory Inquiries and Relations at UBS Securities LLC.  In that role, she oversees all securities-related regulatory inquiries and examinations and represents the Firm in matters before the SEC, FINRA, and other regulators.  Prior to joining UBS in 2013, Ms. Elovic briefly held the role of Head of Regulatory Relations at MF Global, Inc. 

From 1999 through 2011, Ms. Elovic held various roles in the Enforcement Department of FINRA (and its predecessor NYSE Regulation, Inc.).  From 2008 through 2011, she served as Chief Counsel.  In that position, Ms. Elovic supervised hundreds of Enforcement investigations including matters involving violations of Regulation SHO, Bluesheet reporting, mutual fund market timing, and net capital requirements as well as numerous cases imposing sanctions for failure to comply with various regulatory requirements caused by significant systemic and operational deficiencies and attendant supervisory failures.  As a staff attorney at NYSE Regulation, Ms. Elovic held a leadership role on the joint regulatory team handling the investigations that ultimately resulted in the $1.4 billion Global Research Analyst settlement.

Ms. Elovic began her career in the New York County District Attorney's Office under the Honorable Robert Morgenthau.  An Assistant District Attorney for seven years, Ms. Elovic handled the prosecution of hundreds of criminal matters, first-chaired 15 jury trials and from 1994-1997, specialized in the handling of white-collar criminal matters as an Assistant in the Frauds Bureau.

Ms. Elovic received her J.D. from the Benjamin N. Cardozo School of Law and her B.A. from Brandeis University.

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