James Cornwell Email & Phone Number

Paris, Fr

Scope includes: Broker Dealer and Branch Activities.• Management of the Compliance, Reputational and Enterprise Annual Risk Assessment Programs• Linkage of the Compliance Risk Assessment to the Regulatory and Controls Inventory• Management of responses to related regulatory and audit enquiries and findings.• Responsible for program design, tools and architecture.• Development of formal risk assessment training, methodology and procedures.• Project lead in support of global and regional transformation, alignment and harmonization efforts.• Management of the teams in support of the above activities.

New York, New York, Us

Scope included: Citi’s Institutional Client Group (“ICG”) Activities• Management of highly-visible, global, and/or strategic ICG Compliance programs that cut across multiple regions and businesses, including the Compliance Annual Risk Assessment, the Annual Compliance Plan, State of Compliance Reporting and the enhancement of ICG Compliance metrics.• Coordinator for North America ICG responses to internal audit and external regulatory actions and findings.• Management of the team in support of the above activities.

London, Gb

Scope included Global: Investment Bank, Personal and Corporate Bank, Barclaycard, Wealth and Investment Management and the mapping of Laws, Rules and Regulations to Controls. • Responsible for design, build and execution of risk assessment processes.• Created regional support model as the function transitioned from a large team of consultants to 38 full time employees, located in New York, London, Singapore and Mumbai. Oversaw off-shoring to establish team of 20 FTE in Mumbai.• Created and led extensive global training program; 150 compliance officers and 50 senior managers.• Oversaw product compliance engagement spanning over 40 countries and 320 business units.• Extensive interaction with Regulators regarding Barclays Compliance Risk Assessment and Compliance Annual Plan functions. Emphasis on engagement with FRBNY regarding SR08-8 ‘Compliance Risk Management Programs and Oversight at Large Banking Organizations with Complex Compliance Profiles’.

New York, Ny, Us

Jersey, Jersey, Je