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.

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.
• 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.
• 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.

New York, NY, US

Jersey, Jersey, JE