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I am a seasoned finance professional with a broad base of experience spanning over a decade of managing a variety of Global Markets businesses and products, including OTC derivative, fixed income, and FX Middle Office teams.Over the last few years, I have expanded my skillset beyond Middle Office; first into the Regulatory Reporting space by supporting operational controls aligned to Dodd Frank Transactional and Volcker Regulatory reporting, and then more recently into Compliance Surveillance with a global asset manager.One of my biggest strengths is my ability to identify process improvements by gaining a thorough understanding of the front-to-back workflows of the businesses I support and challenging existing processes supporting those workflows as needed by asking “Why?”I believe that understanding why a process is run a certain way and asking “Why?” if something looks unusual is critical to ensuring a process is as efficient and controlled as possible. Asking “Why?” should then be followed by “Why not…this?” to suggest solutions. Asking “Why?” in this way requires people to think about how they work and why they do what they do, which often leads to reflection and positive change.I also have a great deal of experience with process change through working on countless system migration projects, including:• Migration of over 125k derivative trades to a new strategic derivative subledger• Migration of over 4,000 CDS and IRS trades to a strategic valuation engine• Migration of 20 bond portfolios to a single broker-dealer legal entity • Migration of over 3,500 CDS trades to a strategic derivatives trade capture systemMy specialties include: financial month-end close, balance sheet substantiation, P&L reporting, regulatory reporting, risk reporting, reconciliation building, process improvement, self-identified audit issue escalation, team building, OTC derivative workflow subject matter expertise, FX OptionsI look forward to connecting with you, either via LinkedIn or my contact details below:Phone 646-596-0186 (mobile)Email: jstanton58@hotmail.com
Citi
View- Website:
- citigroup.com
- Employees:
- 196387
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Regulatory Risk OfficerCitiPonte Vedra Beach, Fl, Us
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Afc & Compliance OfficerDws Group Sep 2022 - PresentFrankfurt Am Main, Hessen, DeI am responsible for:Building out Surveillance Calibration and Effectiveness Review processes for DWS Surveillance Compliance, designed to:• ensure the effectiveness of existing Surveillance controls• identify opportunities for control improvements• confirm control parameters are set at appropriate levelsEvaluating data quality controls used in vendor-provided Surveillance control solutions to ensure they are sufficiently robust. -
Dodd Frank/Volcker Regulatory Operations ManagerDeutsche Bank Nov 2017 - Sep 2022Frankfurt Am Main, Hessen, DeI governed supervision over Dodd-Frank/CFTC Transaction Reporting and Volcker Reporting, including supervisory oversight of all reporting processes and controls. I identified issues impacting reporting and develop tactical solutions while working with Bank stakeholders (e.g. Front Office, Technology, Compliance, Operations, Client Onboarding, Finance) to build strategic solutions. I provided Regulatory Operations subject-matter expertise on large-scale Change programs. I trained new Regulatory Operations team members on controls, procedures and best practices for investigating and resolving reporting exceptions, including an offshore team in Bangalore, India. I managed an annual Bank Volcker Controls Attestation process for Regulatory Operations.My Key achievements include:• Streamlining Volcker monthly controls and annual Controls Attestation process, leading to a 5 FTE cost savings.• Migrating Volcker reporting onto the Bank’s strategic Control Pillar framework to consistently measure controls across reporting jurisdictions.• Resolving trading book static data exceptions, bringing outstanding exceptions to a multi-year low.• Building a Dodd-Frank Real Time reporting fix-on-fail process to address high profile Nack issues. -
Vp, Transaction AccountingDeutsche Bank Dec 2014 - Nov 2017Frankfurt Am Main, Hessen, DeI managed a team of financial accounting professionals responsible for month-end financial close, reconciliation of financial accounting data to regulatory reporting data, and balance sheet substantiation. I ensured month-end tasks for all team members are completed timely to stay in compliance with team expectations, including reviews of key operating procedures to identify control improvements. I provided subject matter expertise for OTC Derivative financial accounting and operational process flows. I analyzed MIS and root causes on delayed tasks and suggested changes to prevent recurring issues to senior management. I worked with Risk & Control teams to escalate self-identified audit issues around inadequate month-end reconciliation controls. I delivered process improvements, particularly with historic manual processes with a goal to minimize operational risk through process automation or retirement by establishing STP workflows. My Key achievements included:• Optimized weekly cash break process from migrated from Mumbai, resulting in 90% decrease in cash break volumes• Established STP workflows for derivatives traded in Repo business, saving 5 hrs/month through manual process retirement• Automated monthly IPV reconciliation, saving 10 hrs/month• Closed out two outstanding audit items inherited from previous OTC team lead• Managed the migration of S/L reporting to a new strategic derivatives subledger to support improved data delivery for regulatory reporting• Managed the rollout of a consolidated month-end reported P&L to ledger P&L reconciliation tool• Managed the rollout of a strategic P&L reporting tool
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Vp, Foreign Exchange OptionsBank Of America Merrill Lynch Oct 2013 - Dec 2014Charlotte, Nc, UsI managed the trade support team supporting the G10 Vanilla FX Options trading desk. I worked directly with FX Options Front Office and all business partners for Trade Control issues. I served as Middle Office contact on MarkitSERV FX industry Working Group tasked with review of new MarkitSERV product offerings and their impact on dealers and buy-side firms. I performed Process Excellence reviews for FX Options Trade Control support structure, ensuring continual improvement and efficiencies necessary for scalable growth. I helped structure and implement business continuity plans and coordinated plan testing with BCP project leads. I was responsible for Dodd Frank reporting for FX Options in support of Real Time Reporting regulatory requirements.My Key achievements included:• Raised self-identified audit issues around missing end-of-day controls for risk batch processing and the lack of an SLA to document proper escalation procedures. Worked with Technology partners after raising the audit issue to implement appropriate controls and close the audit point.• Migrated the trade capture system permissioning function and approval process to technology from MO; who had incorrectly owned the function due to a legacy key staff dependency.• Eliminated legacy tasks performed by the team that are outside of core MO functions.• Worked with FX trade support teams in Asia to coordinate training on BAU trade support functions, enhancing the level of support provided to Asia desks. -
Vp, Emerging MarketsBank Of America Merrill Lynch Aug 2010 - Oct 2013Charlotte, Nc, UsI managed a team of PnL analysts supporting a $5 billion Latin America bond and derivatives trading business. I produced daily PnL with commentary and variance explains, highlighting key market moves and industry trends. I analyzed VaR breaches and provided supporting commentary to Market Risk partners. I worked closely with the trading desk to satisfy business requirements and ad-hoc requests. My Key achievements included:• Led migration of daily PnL reporting off of spreadsheets and onto the Bank’s target PnL reporting platform• Designed and implemented trader-level funding report, detailing sources of funding for bond positions• Led Balance Sheet cleanup project to eliminate unsubstantiated accrual positions in legacy Merrill businesses (MLPF&S and MLI) following merger.• Worked with business managers and various support partners (Market Risk, Technology, Project Managers) to successfully complete numerous transition projects, including: o Migration of over 4,000 CDS and IRS trades to the Bank’s target valuation engine o Migration of 20 bond portfolios to a single broker-dealer legal entity o Migration of over 3,500 CDS trades to the Bank’s target derivatives trade capture system
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Vp, Global Mortgage ProductsBank Of America Merrill Lynch May 2003 - Aug 2010Charlotte, Nc, UsLifecycle event monitoring for Synthetic CDS (CDS on ABS/CMBS, CDS on CDO).Worked with technology partners to create an ABS floating payment tool that automated calculation of payments and generation of counterparty notices, saving 1.5 FTE of manual work.
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Financial AnalystDeutsche Bank Aug 1999 - May 2003Frankfurt Am Main, Hessen, De
Joseph Stanton Skills
Joseph Stanton Education Details
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St. John'S UniversityFinancial Services -
Suny GeneseoEconomics
Frequently Asked Questions about Joseph Stanton
What company does Joseph Stanton work for?
Joseph Stanton works for Citi
What is Joseph Stanton's role at the current company?
Joseph Stanton's current role is Regulatory Risk Officer.
What is Joseph Stanton's email address?
Joseph Stanton's email address is js****@****ail.com
What is Joseph Stanton's direct phone number?
Joseph Stanton's direct phone number is +164659*****
What schools did Joseph Stanton attend?
Joseph Stanton attended St. John's University, Suny Geneseo.
What skills is Joseph Stanton known for?
Joseph Stanton has skills like Derivatives, Middle Office, Capital Markets, Investment Banking, Fixed Income, Cdo, Equities, Trading, Cds, Emerging Markets, Credit Derivatives, Interest Rate Derivatives.
Who are Joseph Stanton's colleagues?
Joseph Stanton's colleagues are Dewi Wijaya, Sérgio Ghirghi Filho, Walter Sanchez, Sudheer Yadav, Sophia Fernandez, Ceylan Bıçakçı, Ricardo Dizon.
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