Aaron Griffith Email & Phone Number

New York, New York, Us

Oversee regulatory affairs focused on Securities Services, including Treasury & Trade Solutions (TTS) and Securities – covering Custody, Fund Services, Execution Services, and Issuer Services. Formulate strategies and frameworks for department restructure and transition from second to first line of defense in risk management. Supervise three direct reports and drive excellence in cross-functional collaboration, leading the team to succeed in average of 100+ interactions with other departments annually. Address inquiries from regulators and coordinate with subject matter experts to tackle regulatory risks and needs.

New York, New York, Us

Directed regulatory exams assigned by Office of Comptroller of Currency as well as Federal Reserve Board for institutional client group. Oversaw regulatory reviews, risks assessment and control, reporting, and promotion of consistent regulatory messages globally. Advanced methodology for disagreeing with regulatory conclusions.Coordinated corrective action plan and target development collaboration with key stakeholders, optimizing relationships with regulators and achieving corporate reputation for compliance excellence. Collaborated with regulators and agency supervisory teams, addressing inquiries and meeting with senior leaders regarding exams. Partnered with business, regional regulatory governance, local advisory compliance, legal, and technology specialists to prepare responsive documentation and materials.

New York, Ny, Us

Orchestrated investigations of sales and operational customer complaints initiated through federal regulatory agencies, including Securities and Exchange Commission, Financial Industry Regulatory Authority, and state’s securities regulators – producing responses for product lines in retail brokerage division as well as firm affiliates.Analyzed trends in customer complaints and prepared thematic reports for senior management. Formulated Central Registration Depository U4 and U5 amendments for current and former employees. Escalated concerns and coordinated resolution efforts with product group, legal, and regulatory response specialists.

New York, Ny, Us

Built and maintained database used for tracking firm litigations, arbitrations, customer complaints, internal reviews, and federal as well as state regulatory actions organization wide. Produced quarterly and annual reports for senior management, covering product, geographical, legal, and regulatory concerns.Created comprehensive semi-annual reports on cost and operational effectiveness related to utilization of outside counsel on firm matters. Provided administration of Legal Department’s Continued Education Legal and Compliance Program.

New York, Ny, Us

New York, Ny, Us

Us

Us

Doctor Of Law - Jd, Financial Services Law

Bachelor Of Arts - Ba, French Studies