Henry Kugaczewski Email & Phone Number

Greater New York City Area

Principal Regulatory Coordinator, Member Regulation Function as point of contact and liaison for member firms, assisting their compliance with FINRA regulations and other regulatory guidelines. Review and analyze periodic financial submissions, and collected data, to evaluate potential impact of business model changes and activity of member firms as part of an ongoing risk assessment. Prepare, set, and execute periodic examination strategy and assess risk for member examinations. • Conduct periodic interaction with District and National Management reporting on trends and escalation issues as required. Determine adequacy of a firm’s corrective actions and suggest appropriate examination disposition. • Selected Contributions:– Instrumental in the preparation and conducting training for Regulatory Coordinators as District Training Committee member.– Implemented and established initial framework and rollout of the national Risk Surveillance Platform. – District contact for the rollout of new risk based examination platform (RPR); developed content/policy for the same.– Drafted business conduct priorities for FINRA’s 2015 Annual Priorities Letter. – Evaluate member firm AML programs and help prepare District AML Training. – Review customer complaint data to identify high risk registered representatives and firm trends for District examinations.

Greater New York City Area

Principal Examiner, Member Regulation (FINRA/NASD/New York Stock Exchange) Functioned as lead examiner on complex cycle examinations; focusing on the policies, procedures, financials, and practices of member firms. Review of the examination team’s work product, and assisting/training junior examiners as needed. Created reporting metrics for District Management, and participated in annual District examination planning and projections. • Conducted risk based assessment of member firms in order to select examination content and focus. • Communicated examination findings to senior management of member firms, and other regulatory agencies.• Prepared formal examination reports, correspondence, and requests internally and to member firms and other regulators. • Presented apparent violations to senior management and FINRA Enforcement for possible formal action.• As a national Operational Risk Regulatory Expert, assisted FINRA staff within and related to areas of my expertise; including possession or control, reserve, and operations. Project Manager Electronic Core File • Coordinated the selection criteria of standardized member firm files, managed the conversion from paper to electronic files, and the training of staff on the use of the electronic platform. • Responsible for planning and rollout of the Electronic Core File including the allocation of IT resources.Project Manager EET Platform Change Control Committee• Team Project Manager responsible for collation of data from team members and the suggesting and prioritizing various enhancements and updates to electronic examination platforms.• Directly managed a project group of four. NYSE/legacy NASD Integration Committee • Responsible for the implementation of committee policies across former NASD examination teams, and the reporting of progress back to the committee. • Participated in the system selection process, recommending which legacy systems would be selected for FINRA regulation.

Greater New York City Area

Operational Risk Group ORG (Risk Compliance), Sr. Manager/Director, Global Risk Management 2000-2004• Functioned as “go to person” regarding possession or control and related regulatory issues. • Backup Contingency Plan (BCP) Coordinator for North American Operational Risk Group (ORG).• Escalated risk /regulatory issues and prepared periodic updates to Legal and Compliance and senior management as required.• Project/Committee Member - Basel/CSE Implementation and Sarbanes-Oxley SOX 404 Compliance projects. • Interfaced daily with internal parties on regulatory issues (Controllers, Prime Brokerage, Legal and Compliance, and Operations).• Created training materials (Classroom, Webcasts, and Policy and Procedures) related to regulatory issues.• Represented the Firm as the Operations contact for the annual NYSE and Deloitte & Touché audits. • Presented Introduction and Reconciliation sections of the Firm’s Risk Awareness Course Program.Manager, Confirmation, Count, and Control Group • Responsible for the timely contact, recording of outstanding obligations, and the quarterly count per SEA Rule 17a-13.• Managed staff of six, including one supervisor. • Implemented an electronic confirmation system to replace a manual process.• Transition Manager for the movement of the group’s functions to the Baltimore office, including candidate selection and interviewing of potential employees. Project Manager Global Internal Control Initiative/Custodial Documentation Project• Team Project Manager responsible for evaluation of physical documents and the creation of an electronic repository and index. • Directly managed a project group of three. • Ensure documentation was adequate to fulfill the requirements of SEA Rule 15c3-3.International Settlements, Team Supervisor (Associate) 1997-2000• Acted as liaison with agents and internal sources (business units, desks, clients, operational areas).• Evaluated and reviewed employee performance of a staff of four.

Greater New York City Area

• Coordinated settlements with agent banks and reconciled currency and position balances.• Created policy and procedures for processing claims and the collection of funds.• Opened new accounts and established custodial relationships within emerging markets.

Greater New York City Area

• Coordinated settlements with agent banks and reconciled currency and position balances.• Evaluated client collateral and approved loans up to one hundred million US dollars.• Functioned as team leader of a team of three.