Ryan R. Cuomo Email & Phone Number

Baltimore, Md, Us

Baltimore County, Maryland, United States

Baltimore, Maryland, United States

 The Investment Bank Compliance Assessment Group is primarily responsible for assessing activities within Institutional Securities Group (“ISG”) for adherence to applicable laws, rules, regulations and Firm policies and procedures.  The activities conducted by CAG are coordinated globally across similar ISG teams and performed in conjunction with the Firm’s Monitoring and Testing Program that was adopted pursuant to the conversion to a Financial Holding Company. Planning, preparing and executing regulatory and compliance-based reviews for Sales & Trading, IBD, Research, Commodities, Futures, Prime Brokerage, Bank Resource Management and Operations Divisions.  These reviews include desk, branch and targeted assessments, which are primarily focused on evaluating controls and compliance with rules, regulations and Firm policies and procedures.  Responsible for conducting information gathering sessions with Business Unit personnel (including management and support staff), performing substantive on-site testing, summarizing results, preparing written reports to be presented to management, and tracking all issues raised in the course of the review until resolution.

Baltimore, Maryland, United States

 Manage a team of Client Service Managers that act as the day-to-day operational liaisons for Morgan Stanley Institutional Clients involved in trading Listed and OTC derivative products Responsible for supervising, as well as directly managing, trade-day and post-trade client activities, ensuring client accounts are collateralized and fully margined in agreement with regulatory standards Communicate with clients and internal stakeholders to ensure proper trade booking, allocation, and trade clearance Ensure timely responsiveness to all Client & Internal Stakeholder queries  Accountable for monitoring my teams intraday capacity levels and distribute tasks as needed Serve as point of escalation for the Client Service team, Operations management, and the Derivatives Business Unit. Work in partnership with the MS Derivatives Business Unit to optimize client trade flow and manage client ad-hoc requests Continually identify process improvement opportunities and coordinate with technology to implement innovative time and cost saving improvements—reducing overall firm risk Key liaison between sales/trading, legal and compliance, market and non-market risk teams, and other operational areas to ensure maximum risk management and timely development and implementation of run the bank and change the bank initiatives Attend client visits and sales pitches

 Managed a team of (10) analysts and associates responsible for the up-stream trade processing and exception management of Prime Brokerage client originated transactions. Responsible for talent recruitment, interviewing, hiring and employee career progression. Actively participate in Campus Recruiting and HR sponsored Interviewing “Super Days”, as well as the 2014 Clearing Ops Hiring initiative aimed at maintaining appropriate staffing levels in Clearing Ops. Responsible for prioritizing and managing project initiatives for the Prime Brokerage Trade Support functional group within PB Operations. Including but not limited to New Product testing and PB Operations transition away from the legacy platforms for all PB supported products. Partnered with key stakeholders such as the Prime Brokerage Business Unit, PB Ops Projects and Technology, ensuring operational support is aligned with business objectives and timelines. Served as point of escalation for the Prime Brokerage Business Unit as well as Ops Management and act as a liaison for the PB Operations Trade Support team. Managed risk reports and metrics including KRI (Key Risk Indicator), TDABC (Time Driven Activity Based Costing), and Departmental Specific Metric reporting for Senior Management. Managed the training of new employees, mentor peers, and is a knowledge source for senior management. Acted as a facilitator of the ISG Product Ops initiative - Train the Trainer, this was designed to train senior employees on how to effectively train junior employees. Conducted regular 1 on 1’s and completed annual reviews to provide proper feedback to employees and to communicate short term and long-term goals.  Responsible for review and approval of all policies and procedures, as well as monitoring daily production volumes for the line team and if required, allocate resources intraday to mitigate impact to production. Managed team meetings

Charlotte, North Carolina, United States

 Responsible for oversight, governance, and control for the Corporate Investments Group and Corporate Treasury trading desks. Assessed implications of new regulatory requirements, as well as process and systems changes, and incorporate each into applicable procedures and communicate associated changes to line of business management and support partners.  Participated in the evaluation and approval of new counterparties and new products requested by the trading desk, as well as efforts to materially change the use of existing products, processes or systems. Identified and maintained an inventory of applicable laws, regulations and guidance, and ensure their integration into relevant policies and procedures. Monitored and tested the overall effectiveness of applicable controls, and adherence to corporate and regulatory standards. Embedded within the line of business to serve as a trusted subject matter expert in response to ad hoc inquiries regarding risk related topics. Team representative in a line of business working group tasked with assessing regulatory impacts and eventual implementation of Dodd-Frank requirements.

Charlotte, North Carolina, United States

 Supported the Corporate Investments Group and Corporate Treasury trading desks that manage the Asset-Liability, Interest Rate Risks, Funding and Liquidity of Bank of America Corporation and its subsidiaries. Exposed to the trading of U.S. Treasury securities, Exchange traded futures and options, Agency/Non-Agency mortgage and asset backed securities, Municipal and Corporate debt obligations, and Foreign Exchange and OTC derivatives across various platforms. Assisted senior traders with daily responsibilities such as communication with brokers, internal stakeholders, and ensuring that new transactions are accurately and consistently recorded in the various risk systems. Served as a liaison between Front Office Trading and Middle/Back Office operations and settlements teams. Initiated the new counterparty/product approval process; evaluated the associated risks and coordinated clearing and settlements with internal support partners. Assisted in the development of an efficient trade capture and reporting process that saved multiple man-hours per day while adding value to all business partners supporting the trading desk.

Towson, Maryland, United States

 Supported the 24-hour trading desk of one of the largest Hedge Funds in the United States with $13+ Billion under management.  Operationally exposed to the trading of Foreign Exchange, Fixed Income Futures, Stock Index Futures, Options, Commodities, and Cash Equities. Tasked with trade capture and substantiation  Researched and resolved daily trade discrepancies