Carlton Carter Email and Phone Number
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A senior executive with over 20 years of global banking and financial services experience, adding value to dynamic organizations within their 1st (Business Units), 2nd (Risk and Compliance), and 3rd (Audit) lines of defense/risk. An accomplished, innovative, solution-oriented, and proven leader focused on people, products, and processes/technology. Effectively communicating (written/verbal), managing and collaborating with diverse global teams and consultants, across a variety of complex products and services, developing, and implementing robust tactical and strategic business solutions, periodically benchmarked with industry contacts.- Excellent communication (written/verbal) and relationship building/maintenance skills with key staff, stakeholders, and senior management in varied businesses and roles, across geographic locations and diverse cultures. - Focusing on business process improvements through risk-based (KRI) / top-down / bottom-up approaches. Creative problem solver with a results-oriented objective.- Designing, implementing, and Re-engineering of Risk Control Self-Assessment across Business Units and corporate functions globally, including standards, procedures, user guides, process flows, training, models, and templates. Core Competencies include:- Enterprise Risk Management - Regulatory Compliance (Banking / Broker-Dealer)- Risk Assessments (ERM, Compliance, BSA/AML, Sanctions, ABAC, and Fraud)- Governance, Metrics and Management Reporting- Strategic and Tactical Planning- Leadership, Training and Development- Policy, Standards and Procedures Governance - Simplification, Automation, and OptimizationPrimary Global Banking and Financial Services product knowledge:I. Banking: Loans, SBLM, HY, Corps, Muni's, ABS/MBS, CDS.II. Cap Mkts: Finance, Asset Mgmt, DCM, and ECM. III. Equity Products: Stocks, Options, Program Trading, and ETFs.IV. Equity Services: Sales (US, Euro, Asia), Prime Brokerage, Research, Sec Ldg, and Clearing. V. FI Products & Services: Sales (US, Euro, Asia), Advisory, and Research.VI.FX Services: ExATS (US, Euro, Asia).
Citi
View- Website:
- citibank.com
- Employees:
- 10
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Svp - Finance Risk And Controls ManagementCiti May 2022 - PresentNew York, New York, UsCiti In-Business Compliance and Regulatory Management (ICRM) Executive for Finance and Global Functions covering Risk and Compliance Management including but not limited to the Comprehensive Strategic Plan, Governance oversight, Boards / Management Reporting, Operational Risk Reporting, Risk Assessment, Policies and Procedures, Regulatory Change Management and Liaison for internal and external audits, reviews and consultation service. Managing programs and processes implementation, enhancement, optimization and sustainability.
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Business Strategy ConsultantSelf-Employed 2021 - PresentAdminister business strategy consulting services through comprehensive review and analysis of strategic initiatives, culture, business models, sales, marketing (e-commerce, digital and social media), operational processes, regulations, and financials. In addition, conduct global market research (quantitative/qualitative) to address business and economic impact related to COVID-19 pandemic, investments (stocks, real estate, crypto/digital currencies), disruptive technologies (EV/ IoT/ IoE), and regulatory changes (US and international).
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Director Of Compliance, Regulatory, Aml, Economic Sanctions Risk ManagementRaymond James Jan 2018 - Dec 2020St. Petersburg, Florida, UsSupervised cross-functional global teams, overhauling and implementing sustainable governance, risk, and control processes. Led the alignment of the Enterprise Program Governance Structure, Target Operating Model and Strategy Framework to the Board’s strategic initiatives. Managed the redesign of the AML/Sanctions/Fraud RCSA Programs, based on COSO Framework over 30 global business units and functions. Drafted, approved, communicated and presented policies, standards, charters, procedures, metrics, and Board reporting to the AML, Audit, Risk, and Compliance committees. In addition, adminsitered the enterprise BSA/AML, Sanctions, ABAC, and Fraud Training Programs. Furthermore, built and implemented the Enterprise Risk Management and Compliance Issues Management Program, then transferred to Risk - AML, ABAC, and Sanctions (1/2018-7/2019) that entailed managing and partnering with business, risk, and compliance teams to successfully implement issue management processes. Areas of Expertise:• Regulatory Compliance Management • Enterprise and Operational Risk Management• RCSA/CRA/ERA design, execution, testing, reporting, including technology• Internal Audit Program management within budget • Process design, implementation, re-engineering, including project management• BSA/AML/Economic Sanctions/KYC/ FDICIA/ SOX and Basel Il -
Svp - Compliance Operational Risk Manager & Global Sanctions Control OfficerJpmorgan Chase & Co. Aug 2013 - Dec 2017New York, Ny, UsLed the global team’s execution of the GFCC RCSA (BSA, AML, Sanctions, KYC, and Transaction Monitoring) Programs. Oversaw the redesign of the execution strategy for the GFCC Compliance Control Operating Model, including the annual plan, resources (staffing and technology), and timeline. Processes within this 'control environment' supported over $1 trillion in daily payments for BSA/AML/Sanctions. Leveraged the COSO Framework to establish and present Key Performance Indicators/ Key Risk Indicators (KRI/KPI) metrics, and reports to Compliance Governance Committees. In addition, supervised the annual control evaluation testing for 300+ risks and 900+ controls and refresh 50+ complex process flows, partnering with the business unit process owners to create and refresh over 50 detailed and complex process maps annually. -
Vp Of Internal AuditSumitomo Mitsui Banking Corporation Jan 2012 - Aug 2013Tokyo, JpSpearheaded development and implementation of the audit strategy (annual plan, budget, resources). Managed and trained staff members during audit engagements, covering Governance, Risk Management, Compliance, Sales/Trading, BSA/AML/OFAC, and Operations audits. Executed and reported audit results to senior management within the Bank, Capital Markets, Securities, and Investment Banking. Subject matter expert for bank and securities products used to provide knowledge support of FRB, SEC, CFTC and FINRA requirements. -
Operational Risk - Senior ManagerMorgan Stanley Jun 2010 - Jan 2012New York, Ny, UsThe Firm Operational Risk Department provides Enterprise wide management and oversight of Operational Risk for Morgan Stanley. A key aspect of our remit is monthly and quarterly reporting of operational risk information to various constituencies including divisional management, senior Firm management and regulators. In addition, the risk department oversee the RCSA program and reculatory compliance initiatives address MRAs, Observations and audit findings.- Managed and partnered with Asia, Europe and South America colleagues on Global Risk projects- Analyzed and reported on Operational Risk incidents and 3-5 Strategic Initiatives to management (monthly and quarterly)- Edited Operational Risk policy and procedures approved by senior management- Designed metrics to assess latency of loss data and impact on the Firm’s Basel II – Regulatory Capital Requirement- Performed incident analysis and KRI assessment (qualitative and quantitative) via data mining and interpretation- Assisted business units reduce operational risk capital through facilitation of Scenario Analysis Workshops- Helped resolve and report on Operational Risk regulatory MRAs/Observations and auditing findings to management- Participated on the RCSA Program redesign and implementation within the business units using created taxonomies -
Senior Audit Consultant - Avp/ManagerAig Jun 2007 - Nov 2010New York, Ny, UsSupervised and reported audit results to senior management within the Insurance, Bank, and Financial Services, across the US and Japan. Identified, critiqued, and reported on the derivatives risk management issues later publicized as part of the 2008 Financial Crisis. -
Senior Auditor - AvpCiti Jan 2000 - May 2007New York, New York, UsAudit of Citi Global Capital Markets including Equity, Fixed Income, Treasury, Commodities, and Risk Management, as well as traveling assignments to Japan, Canada, and Mexico.
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Associate AuditorCibc World Markets Jun 1997 - Dec 1999Toronto, On, CaLed audits of CIBC World Market banks and broker/dealer locations throughout the U.S. and liaison with external auditors. In addition, prepared and presented audit reports for various executive committees.
Carlton Carter Skills
Carlton Carter Education Details
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University Of TampaStrategic Management And Entrepreneurship -
St. John'S University, The Peter J. Tobin College Of BusinessFinance And Minor In Computer Application
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Pace UniversityManagement Information Systems
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Campion College HsBusiness And Accounting
Frequently Asked Questions about Carlton Carter
What company does Carlton Carter work for?
Carlton Carter works for Citi
What is Carlton Carter's role at the current company?
Carlton Carter's current role is Senior Executive in Global Banking, Financial Services, and Business Development with proven leadership results in simplification, automation, optimization, cost-efficiency, and strategic growth, via ops, fin, and tech..
What is Carlton Carter's email address?
Carlton Carter's email address is ca****@****hoo.com
What is Carlton Carter's direct phone number?
Carlton Carter's direct phone number is (212) 270*****
What schools did Carlton Carter attend?
Carlton Carter attended University Of Tampa, St. John's University, The Peter J. Tobin College Of Business, Pace University, Campion College Hs.
What are some of Carlton Carter's interests?
Carlton Carter has interest in Teaching, Live Music And Dancing, Entrepreneurships, Skiing, Volunteering, Investing, Museums, Technology, Table Tennis, Environment.
What skills is Carlton Carter known for?
Carlton Carter has skills like Enterprise Risk Management, Financial Risk, Internal Audit, Derivatives, Financial Analysis, Risk Management, Sarbanes Oxley Act, Finance, Corporate Governance, Internal Controls, Banking, Fixed Income.
Who are Carlton Carter's colleagues?
Carlton Carter's colleagues are Shuo Zhang, Shen Barone, Mst, Konrad Pociask, Laura Bertran, Paul Ingegnere, D Banson, Shantanu Sharma.
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