Thomas Simmons Email & Phone Number

Greater New York City Area

Greater New York City Area

• Managed the Markets and Securities Services (MSS) and Institutional Clients Group (ICG) issue and corrective action tracking senior management reporting process (across 6 lines of businesses globally)• Provided issue and corrective action tracking support and oversite to the global BCS teams, Global Markets Product and business owners within the 3 lines of defense• Assisted with the design, implementation and on-going updates for the Markets Control Dashboard that summarizes the status of Operational Risk controls. This dashboard has reduced costs and improved productivity in the area and is used by Markets control personnel• Supported the Managers Control Assessment (MCA) program, Citi’s self-assessment program across the 24 MSS businesses• Designated MSS and ICG Representative and Sector lead for the corrective action planning, tracking and remediation global working group providing support, coverage, testing, enhancement requests and system document review• Worked with the Markets trading businesses to complete a set of standard control processes, with a focus on Conduct Risk, Volcker and Dodd Frank requirements. This led to more consistent controls and addressed regulatory concerns

Greater New York City Area

Operational Risk Manager:• Ongoing coordination with all Citi regions and sectors to identify and report issues globally for the ICG and Citi Private Bank senior management reporting, Internal Audit and Compliance requests• Provided support for the rollout of the MCA program and on-going coverage for the 77 ICG Products and Functions; including processing of entitlements, entering PRC data, and reporting• Created the MCA Hand Down template, collected and reviewed results, and assisted the CitiRisk technology team in processing the data in MCA• Produce the quarterly and annual rating MCA metrics ensuring that the Firm’s deadlines were met• Responsible for reviewing and processing the RCSA template updates in Catalyst for ICG NAM• Compiled and conducted the Catalyst quarterly QA analysis of testing and sampling dataSenior Compliance Analyst:• Performed risk and internal control assessments of Citigroup Global Wealth Management operations units and processes; including documenting process flows, identification of control points, development and execution of test plans and formulation of corrective action plans• Conducted the annual review of the Citi Private Bank branch location • Monitored the policies and procedures of Citi Private Bank and Smith Barney to ensure compliance • Reviewed the Business areas RCSA and quarterly Operations losses for control and trend analysis• Reported RCSA testing results to senior management and track issues and caps through to closure

• Established the risk management function for the Corporate Equity Solutions (CES) group• Developed, implemented, and maintained the groups’ Master Issue Log that documented audit findings, internal control deficiencies, and regulatory updates• Supervised a staff of 5 associates that were responsible for ensuring that all accounts were reviewed for AML, USA Patriot Act, and KYC rules• Monitored and reviewed all stock option trading, settlement, and reconciliation for 17 corporate clients• Responsible for researching and correcting all client and branch trade errors and maintained the department error and write-off accounts• Performed the group’s SOX 404, Risk Self Assessment, and monthly Loss Incident reports• Assisted the client Relationship Managers and Implementation teams when new corporate clients and Financial advisor teams were added to the stock option platform• Developed a new procedure in conjunction with the Foreign Account Control Group that allowed foreign stock option accounts to be reviewed and approved in CES, resulting in a streamlined process for the Financial Advisors Projects: Managed the Accenture and Publicis Coordinated Selling Program’s, 2006 Publicis Warrant tender, Trade Monitor, Error Recovery System, automated bulk account opening process, online trading capabilities, and automated journal system

Corporate Employee Financial Services:• Supervised a team of 4 employees responsible for the daily reconciliation and monitoring of corporate and individual stock option accounts throughout the branch network• Monitored and reviewed all stock option trading and settlement for over 40 corporate clients• Verified and approved journals and payments for corporate and individual stock option accounts• Responsible for researching, correcting and reviewing all client and branch trade errors• Maintained the branch error and write-off accounts to ensure that the general ledger was accurate• Produced error and audit reports for the branch manager used in senior management meetings• Developed and implemented a procedure for filing extensions on cash exercise transactions Projects: UBS PaineWebber conversion, J C Bradford conversion, Late Payment Interest review, various corporate stock splits, ESPP purchases and other corporate actionsMargin Department:• Managed a team of 10 Margin Generalists and 2 Transaction Processing Representatives• Responsible for all Service Track Action Request (STAR) cases entered by the branch offices• Increased the volume of closed STAR cases while reducing the number of reopens by implementing cross-training, audit review checks, and system enhancements • Produced monthly audit reports for senior management on STAR case volume and reopen rates• Responsible for cash extensions, fed and aged house calls, Reg T items, and ensuring the firm’scredit policies and rules were followed• Worked with IT on the testing and rollout of the Fed / House Call System and UBS PaineWebber’s online trading platform