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.
• 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.

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..
• 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

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).

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.