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