Frank Mancuso Email & Phone Number

New York City Metropolitan Area

Responsible for the prudential and capital markets regulatory engagement, in developing and implementing the overall Capital Markets (SEC, FINRA, NFA, and CFTC) regulatory coverage strategies.Develop and implement the Capital Markets regulatory engagement strategy, in coordination with the FRB, OCC, and FDIC Regulatory Engagement Senior Leads and the broader Global Regulatory Engagement Team, to strengthen the engagement with Citi’s Capital Markets regulators.Establish and maintain strong working relationships with broader Global Regulatory Engagement team and key stakeholders firm-wide to communicate Capital Markets regulators’ priorities, and to keep abreast of the priorities of other regulatory bodies globally.Coordinate with the FRB, OCC, and FDIC Regulatory Engagement Senior Leads, Citi senior management and Regulatory Engagement leads in relevant businesses and functions to respond to regulatory requests in a timely, accurate way.Coordinate with Regulatory Exam Management, Regulatory Engagement teams and relevant senior leadership to ensure effective preparation for, and effective coordination and delivery of, all Capital Markets exams.Support timely regulatory responses and remediation efforts.Engage in the development of new rules and regulations.

New York

Exam Management & Regulatory Relations Executive• Accountable for examination execution and regulatory relations for Institutional Line of Businesses, Risk and Chief Financial Office. • Develop a strategically focused engagement strategy and serve as a primary liaison between executives and regulators.• Perform in-depth analysis of external and internal interactions to identify themes, best practices and current hot topics to provide a comprehensive view to senior management. • Conduct readiness assessments of the end to end process being examined to identify any control gaps or weaknesses, potential issues and potential emerging risks. • Provides leadership and guidance in preparing executives for examinations, ongoing supervision meetings and other interactions. • Ensure immediate escalation of any concerns, emerging themes or issues; develop and manage internal working groups.• Share examination information / regulator perspective on any regulator identified issues to influence and drive the remediation action plans.• Develop and maintain effective reporting and communication routines to achieve executive understanding of key issues.• Established Global Regulatory Interaction and Exam Management Standards.• Drive improvement in examination execution by measuring examination standards; responsible for on-going monitoring of compliance.• Coordinate and oversee timely and accurate responses to external regulators for any to ad-hoc inquiries.• Deliver training and ongoing guidance on standard operating requirements.

• Effectively analyze the risks of the larger, more complex financial assignments; identify priorities for review / examinations.• Conducts on site examinations to assess Member Firm’s financial and operational conditions and risk management framework.• Evaluate Member Firm’s systems and procedures for the establishment and implementation of comprehensive internal controls.• Supervise examination staff; mentor and train less experienced examiners.• Analyze the current review scopes and procedures; responsible for updating and implementing.• Consistent communication / interaction with Senior Management of FINRA, Senior Management of member firms and other Regulatory Agencies.

• Manager of Consolidated Supervised Entities (CSE) Regulatory Reporting; prepare and analyze monthly, quarterly and annual CSE Capital information and ratios.• Partner with Risk Management to monitor Credit and Market Risk; accountable for accurate CSE treatment (Basel II).• Develop new procedures for process improvement and for reporting and reducing Other Assets Risk.

Purchase, New York

• Manager of Capital Markets Financial Reporting; liaise with Business Unit, Technology, Finance Operations and Senior Management in Finance.• Report and analyze Daily, Weekly, and Monthly P & L for Senior Management in Finance and Business Unit.• Create and analyze forecasts and budgets; accountable for accuracy and variance analysis.• Maintain consistency / transparency of Financial Reporting and Product Reporting.

Greater New York City Area

• Perform Fixed Income month end P & L close; responsible for reporting and process improvement.• Manager of Balance Sheet Consolidations.• Review and validate consolidated balance sheet on a monthly basis (CSE & Sarbanes Oxley).• Reconcile consolidated balance sheet in accordance to US GAAP (vs. Business Segments).• Prepare and analyze statistical information for Senior Management and External Reporting.• Balance sheet fluctuation analysis; monthly review of entire balance sheet and account usage.• Monitor global inter - company transactions; accountable for accurate reporting.

Greater New York City Area

• Prepare daily and monthly Segregated and Secured computations for U.S. and foreign commodity accounts.• Prepare and analyze Net Capital Requirements (daily and monthly) in accordance to Rule 15c3-1.

Greater New York City Area

Senior Analyst / Accountant - Financial Services Department• Calculate and analyze the customer reserve formula (Rule 15c3-3).• Compute and analyze the Securities and Exchange Commission X-17a5 Requirement (Focus Report).• Accountable for Net Capital Requirements (Rule 15c3-1); prepare and analyze various schedules and charges.• Prepare statistical and analytical data for Executive Management.Financial Analyst / Accountant - Financial Services Department• Forecast and analyze NYSE fees, commissions and trading volume; prepare statistical reports.• Review customer commodity trades; approve margin call and segregate customer funds.Sales Analyst - Stock Loan Department• Consistent communication / negotiation with banks, brokers and traders to generate income in a highly competitive pressure filled environment.Clerk - Operations Department• Research and solve the various problems that arise in Operations; reconcile all Departments and accounts daily.