John Richardson Email & Phone Number

•Senior leader with over 25 years’ experience in financial services spanning capital markets compliance, internal audit, fixed income trading, financial control, and trading operations•Manager of Managing Director and Director-level leaders•Demonstrated ability to build and lead high-performing teams, ensure proper staffing and expertise, and manage the establishment of major policies and risk and control programs across global business divisions with complex risk scenarios •Strong analytical and critical thinking skills, integrated with an ability to transform issues and opportunities into well-defined plans, data-driven solutions, and measured outcomes by leveraging emerging technologies•Extensive experience designing and executing both tactical and strategic vertical business control programs and horizontal entity-level programs, including regulatory change management, risk identification and assessment processes, risk measurement, issue management, new product and business review, complaint handling, monitoring and oversight, executive reporting, and training•Deep understanding of evolving governance and regulatory environments as well as industry and compliance risk-related best practices and tools•Expert-level knowledge of broker dealer, swap dealer, and banking regulatory regimes, including the Office of the Comptroller of the Currency (OCC), Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), Federal Reserve Bank, Commodity Futures Trading Commission (CFTC), and National Futures Association (NFA)•Proven history of successfully implementing, strengthening, and streamlining front line business controls and risk management elements in a corporate and investment bank, its operations and financial control functions, and in the independent risk management function at a Global Systemically Important Bank

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  Wake Forest University

  Business