Joseph Doherty Email & Phone Number

New York City Metropolitan Area

• Responsible for identifying, mitigating and remediating risk for the following functional areas – Cash Products, Cash Mgmt., Equity Operations, Margin and Prime Services• Worked with my functional groups on matters relating to RCSA, SOX, MICOS, MyIncidents and Risk Inventory to bring each risk item to completion• Initiated and conducted the forum where Line Risk Managers from all regions can meet and discuss risk related topics• Developed a training guide for MyIncidents for the line to use when preparing this document• For the Americas – MyIncident lead – chair of the bi-weekly meetings. In each meeting I challenge the global lrm’s in order to bring out the elements of risk, root cause and the action plan going forward.• Have challenged the line on the on boarding of clients to include but not limited to KYC/AML. Each year as part of our mandatory training KYC/AML is reviewed and tested• Member of the quarterly vault team