Managed a team of control professionals responsible for maintaining the “first line” business control framework for several of the firm’s fixed income macro business areas. Key responsibilities included control implementation and documentation, issues management (identification of issues and development and implementation of corrective actions), operational risk events (documentation, root cause analysis, management reporting, and metrics), regulatory rule implementation, and policy/procedure development. Acted as central business control contact for external regulatory exams and inquiries, internal audits and compliance testing.

Responsible for all aspects of the US fixed income compliance program. Managed a team of compliance professionals who provided compliance coverage for all fixed income sales & trading business areas including credit corporates, securitized products, municipal securities, interest rate products, foreign exchange, emerging markets, repos, and commodities, as well as certain fixed income lending and origination business areas including public finance, securitized products origination, commercial real estate, structured products, and middle markets lending.

Managed a team of compliance professionals who provided compliance coverage for the institutional credit, emerging markets credit, municipal securities and public finance business areas.Executive Director: Jan. 2016 - Aug. 2021Vice President: Jun. 2014 - Jan. 2016

Provided compliance coverage for the institutional credit sales and trading business areas. Coverage included investment grade, high yield, distressed, loans, CLOs, credit derivatives, short-term credit, credit syndicate and debt capital markets.

Provided compliance coverage for several institutional fixed income sales, trading and structuring business areas. Primary coverage included the flow credit trading business (investment grade, high yield, distressed, credit derivatives, and loan trading), debt sales, credit structuring, and the credit portfolio strategies group. Prior coverage areas include foreign exchange, repos, money markets, commercial paper and U.S. Treasury Auctions. Vice President: Feb. 2013 – Sep. 2013Assistant Vice President: Feb. 2012 – Feb. 2013Associate: Feb. 2011 – Feb. 2012Senior Analyst: Sep. 2008 – Feb 2011