Director, Business Control Officer For Private Side Capital Markets
Current
May 2023 - Present
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Nick P. Email & Phone Number
Operational Risk and Control Executive, Specializing in Implementation, Transformation, Operation and Oversight of Risk Management Frameworks
at
SMBC Nikko Securities America, Inc.
LinkedIn matched
✓ Verified Jun 2026
3 data sources
Profile completeness 86%
Current company
Role
Operational Risk and Control Executive, Specializing in Implementation, Transformation, Operation and Oversight of Risk Management Frameworks
Location
New York, New York, United States
Who is Nick P.? Overview
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Quick answer
Nick P. is listed as Operational Risk and Control Executive, Specializing in Implementation, Transformation, Operation and Oversight of Risk Management Frameworks at SMBC Nikko Securities America, Inc., based in New York, New York, United States. AeroLeads shows a matched LinkedIn profile for Nick P..
Nick P. previously worked as Director, Business Control Officer for Private Side Capital Markets at Smbc Nikko Securities America, Inc. and Sr. Director, Head of Finance Transformation & Internal Control at Santander Us. Nick P. holds Associate Chartered Accountant (Aca) from Icaew.
Company email context
Email format at SMBC Nikko Securities America, Inc.
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SMBC Nikko Securities America, Inc.
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Profile bio
About Nick P.
Operational Risk and Control Executive with “Big Four” background, specializing in firm-wide implementation, transformation, operation and oversight of risk management frameworks at Global Systemically Important Banks (GSIB). Held positions across all three Lines of Defense in highly regulated and consent order environments.
Current workplace
Nick P.'s current company
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Smbc Nikko Securities America, Inc.
AeroLeads page
10 roles · 28 years
Nick P. work experience
A career timeline built from the work history available for this profile.
Sr. Director, Head Of Finance Transformation & Internal Control
Jun 2021 - Mar 2023
Director, Business Control Management
Sep 2019 - Jun 2021
Director, Head Of Risk & Control Transformation
Jun 2018 - Sep 2019
Director, Global Head Of Fraud Risk
Jun 2015 - Jun 2018
Acting Global Head Of Fraud Risk
Dec 2014 - May 2015
Vice President - Fraud Risk
May 2013 - Dec 2014
Chief Operating Officer, Equity Derivatives Sales & Trading
2010 - 2013
~3 yrs
Product Control Manager, Equity Derivatives
2002 - 2010
~8 yrs
Senior Audit Manager
1998 - 2002
~4 yrs
3 education records
Nick P. education
Associate Chartered Accountant (Aca)
Icaew
Bachelor Of Science - Bs, Economics
University Of Warwick
Education record
The British School In The Netherlands
FAQ
Frequently asked questions about Nick P.
Quick answers generated from the profile data available on this page.
What company does Nick P. work for?
Nick P. works for SMBC Nikko Securities America, Inc..
What is Nick P.'s role at SMBC Nikko Securities America, Inc.?
Nick P. is listed as Operational Risk and Control Executive, Specializing in Implementation, Transformation, Operation and Oversight of Risk Management Frameworks at SMBC Nikko Securities America, Inc..
Where is Nick P. based?
Nick P. is based in New York, New York, United States while working with SMBC Nikko Securities America, Inc..
What companies has Nick P. worked for?
Nick P. has worked for Smbc Nikko Securities America, Inc., Santander Us, Wells Fargo, The Alacer Group, and Hsbc.
How can I contact Nick P.?
You can use AeroLeads to view verified contact signals for Nick P. at SMBC Nikko Securities America, Inc., including work email, phone, and LinkedIn data when available.
What schools did Nick P. attend?
Nick P. holds Associate Chartered Accountant (Aca) from Icaew.
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