Built, implemented, and managed first line of defense risk management programs for bank’s asset liability management, capital markets, correspondent banking, and other areas of the CIO Treasury function. Managed CIO Treasury function’s business risk program (with $380 billion balance sheet) and support functions for investment, balance sheet hedging, liquidity, funding, model development, and stress testing activities. Managed regulatory relationships with OCC, Federal Reserve, FDIC, SEC, CFTC, FINRA, and NFA. Built risk management program for 15 proprietary trading desks, including identifying trading desks, defining permissible trading activities, calculating quantitative metrics, establishing limits and exception processes, reviewing portfolio activity (e.g., trade blotter review, profit and loss attribution), and establishing internal controls and quarterly reporting. Supervised teams responsible for identifying, managing, and evaluating policies, procedures, risks and controls.

As a senior executive in the second line of defense, Dan designed and implemented compliance programs for bank’s high-profile businesses and support functions. Oversaw multiple areas of responsibility, including ALM, capital markets, treasury management, financial institutions group, and real estate.

As a member of the executive management of the Corporation, Dan developed policies, regulations, or guidance governing capital charges and structures, counterparty credit risk, operational risk, proprietary trading, incentive compensation, derivatives, resolution plans, and liquidation of nonperforming assets. Represented FDIC in negotiations with domestic and international regulatory organizations (e.g., OCC, Federal Reserve, Basel Committee on Banking Supervision (BCBS)).

Managed firm's legal and compliance matters for futures commission merchant, clearing member, and proprietary trading firm, with customer assets of $400 million, 150 employees (35 proprietary traders), five trading algorithms, and 75 independent brokers. Represented firm before CFTC, NFA, and Chicago and New York exchanges, including CME high-frequency trading exams and financial audits. Developed finance internal controls and served as corporate liaison with auditors.

Commodities, securities, and employment litigation.