Jim Johnson Email & Phone Number

New York, New York

Primary responsibilities are oversight and monitoring of municipal sales and trading activities, underwriting, and public finance banking. This includes advice to business management, as well as surveillance and monitoring of sales and trading activities. Create, update, and maintain applicable policies, procedures, written supervisory procedures, and product specific compliance training. Participate on committees for vetting new business initiatives and transaction approvals. Advise bankers, strategists, and trading desks on firm and regulatory policies. Represent the firm on various SIFMA committees on development of rules and policies affecting the firm's business. Other product areas include corporate credit (investment grade), emerging markets, and other fixed income products and activities.

New York, Ny

Senior Business Risk Manager for Citigroup's Global Spread Products (GSP) Division with $7 billion per year revenues, approximately 1,400 employees, locations in North America, EMEA, and APAC. GSP includes such businesses as Securitized Markets, Credit Trading, Public Finance Investment Banking, Syndicate, Capital Markets Trading Desks, and Citi Community Capital which is the nation’s number one multi-family affordable housing financier and responsible for approximately 98% of Citigroup’s Community Reinvestment Act (CRA) requirements. Developed work flows, policies, and procedures within the constraints of Citigroup’s Risk Management, Compliance, and Audit frameworks, as well as external regulatory governing bodies including MSRB, FINRA, SEC, FRB, and OCC in order to achieve and maintain compliance with external and internal business laws, rules, policies and other requirements. Also worked on ad-hoc projects as needed to ensure and maintain a controlled environment as first line of defense.

New York, Ny

Lead Compliance Examiner covering Citigroup's U.S. Institutional Branch network. Offices include Investment Banking, Public Finance, Fixed Income Sales & Trading, and Equities Sales & Trading. The Institutional Branch Inspection Team is an integral function to manage risk and ensure compliance with firm policies and regulatory rules such as NASD 3010 and 3012.

New York, Ny

Global liaison for Citigroup’s Internal Audit, Risk, and Review Team specializing in equity market risk. Assess the state of affairs for Citigroup’s global capital market equity business. Interface with Citigroup Global Market’s senior management, global equity trading desks, and corporate audit staff. Develop equity and derivative product knowledge for audit division and assist in audit reviews focusing on a risk-based approach.

Baltimore, Md

Derivative securities trader serving institutional and high net-worth private client order flow. Trading in exchange listed options on equities, indexes, interest rates, foreign currencies, financial and agricultural futures, and underlying securities. Advised customers on the viability and pricing of structured products. Maintained, upgraded and evaluated systems for trading department.

Baltimore, Md

Taught derivative securities courses in Masters of Science in Business for School of Continuing Studies. Began and developed first ever derivative securities course curriculum for upper level masters course at JHU. Course topics included: put-call parity theory, cash-and-carry arbitrage for forwards and futures, foreign currency interest rate parity, cheapest-to-deliver interest rate futures analysis, futures basis risk, equity and index option analysis, option strategy spectrum, option pricing models, structured products, swaps, caps, floors, and exotic option analysis.

Managed and traded index and utility equity portfolios for a $12 billion property & casualty insurance company and a $2.5 billion life insurance subsidiary. Performed quantitative portfolio analysis, recommended and executed hedging strategies, analyzed and managed various structured products. Automated equity, treasury, and derivative investment portfolio management processes. Main strategies used were hedged dividend capture, utility dividend rollover, and debt option portfolios. Also responsible for performance calculations and portfolio attribution analysis, and quantitative portfolio analytics. Also managed trade capture group and was responsible for trading desk technology platforms.

Master Of Science - Ms, Finance, With Honors

Master Of Science, Finance

Alpha Nu Omega Dean's List Graduate Assistantship Grant

Ba, Business Administration

Activities and Societies: Football - 4 year letterman Delta Pi Alpha - Fraternity President (2 years)