James Quigley Email & Phone Number

New York City Metropolitan Area

Lead the regional implementation of the group operational risk and compliance management framework for Global Banking and Capital Markets. Ensure the business is appropriately focused on risk identification/assessment, risk mitigation, and implementation of robust controls aligned with both the regional CAO and global Business Risk and Control mandates. Provide oversight and management of the risk and control assessment process and development of internal control monitoring framework.

Greater New York City Area

Led the regional implementation of the group operational risk management framework for Global Banking and Capital Markets, managing a team of professionals. Ensured the business was appropriately focused on risk identification/assessment, risk mitigation, and implementation of robust controls. Provided oversight and management of the risk and control assessment process and development of internal control monitoring plans. Led the business through a period of close regulatory scrutiny and… Show more Led the regional implementation of the group operational risk management framework for Global Banking and Capital Markets, managing a team of professionals. Ensured the business was appropriately focused on risk identification/assessment, risk mitigation, and implementation of robust controls. Provided oversight and management of the risk and control assessment process and development of internal control monitoring plans. Led the business through a period of close regulatory scrutiny and oversight, serving as a liaison with the DoJ appointed monitor and U.S. regulators. Show less

Weehawken, Nj

Led the global transformation of the function for the division, including target operating model design, and development of policy, reporting, and key metrics. Manage senior stakeholder communications, program endorsement, training, and implementation. Led the new business control team, participating on senior business committees and serving as liaison to audit and regulators. Provide regional and cross-divisional thought leadership.

New York, Ny

Implemented and improved internal controls across the Global Credit Risk Management (GCRM) business, focusing on compliance with internal policies and workflow process improvements. Managed a staff of six analysts supporting financial and internal controls, monthly reporting, and business continuity.

New York, New York, United States

Developed the general ledger reconciliation and substantiation process and agenda (GLRS) for the North America Investment Bank (IB), including monthly MIS, risk analysis, and global coordination of metrics. Oversaw monthly analysis and MIS of operational risk and financial control issues (internal audits, key risk indicators, error analysis, control self assessments and Sarbanes Oxley compliance). Reduced the unreconciled and unsubstantiated general ledger balances to 0.01% over an 18-month… Show more Developed the general ledger reconciliation and substantiation process and agenda (GLRS) for the North America Investment Bank (IB), including monthly MIS, risk analysis, and global coordination of metrics. Oversaw monthly analysis and MIS of operational risk and financial control issues (internal audits, key risk indicators, error analysis, control self assessments and Sarbanes Oxley compliance). Reduced the unreconciled and unsubstantiated general ledger balances to 0.01% over an 18-month period and ensured accurate ownership of 17,000+ ledger accounts. Show less

New York, New York, United States

Successfully managed the implementation of new US Withholding Tax (WHT) regulations across the IB, including system integration, front/middle office user training and risk analysis of systems, trades, clients, and documentation. Analyzed impact across all businesses to identify platform capabilities and knowledge of US WHT regulations within each business.

Horsham, Pa

Managed the middle office derivative operations including mark-to-market valuation, confirmations/settlements, monthly non-performing asset securitizations, ISDA negotiations, and overall technical infrastructure support. Oversaw a staff of six analysts supporting all aspects of derivative and securitization operations and reporting.

Horsham, Pa

Provided mark-to-market valuation of the mortgage derivative portfolio. Monitored all derivative activity and issues, including settlements, trade confirmations, and cash management. Created relational database to monitor derivative portfolio including daily mark-to-market, trade parameters, settlements, and MIS functionality.

Horsham, Pa

Prepared daily P&L and monthly budget for the credit card portfolio. Created a relational database model to track the daily P&L of the credit card portfolio, including MIS reporting functionality.

Master Of Business Administration - Mba, Finance, General

B.S., Finance