Thomas Tobin Email & Phone Number

Tokyo, Japan, Jp

Building out the Framework for Operational Risk at a Bank Holding Level.Writing of Policies and ProceduresGovernance and Oversight of RCSAs; Risk Event Capture; Issues & Actions; Lessons Learned; Risk Taxonomy.

London, Gb

Responsible for the design, implementation, monitoring, and reporting of the Operational Risk Framework for the Americas. The framework consists of: • Risk and Control Self Assessments.• Implement the Operational Risk Policies and Standards.• Provide risk management support and guidance to the First Line Business as well as the infrastructure and support areas of the firm.• Manage the Internal Risk Event capture, monitoring and reporting.• Identify control deficiencies and proactively manage the Action Plans to close or mitigate risk threats.• Perform risk monitoring and reporting of Internal Audits, Regulatory Exams, and Compliance Assessments • Point person for all risk related regulatory inquiries.

Zurich, Ch

Managed Global team in all aspects of Middle Office and Operational Risks. Support of trading desks for all Rates and Longevity / Life Insurance products. Compilation of P&L, Flash Reporting, Front to Back architecture, Trend reporting, Downstream systemic checks, SOX and Dodd Frank initiatives.

Montrouge, Fr

Oversee the operational risk models related to businesses in the bank’s retail banks and investment banking units. Assessing the control design and performing quality assurance tests that cover products, models, data, new business and vendor management.Reconciliation of trading and position discrepancies between front office and back office systems. Verification on positions and tracking and reporting of Penalty, Clearing Fees, Brokerage Fees, Commission charges and Overdraft Interest. Risk Management support of test trading strategies vs. various models and facilitation of adjustments needed for any models related to portfolio / trading desk and retail bank products. Develop, oversee and automate spreadsheets for P&L systems comparison for daily P&Ls and identify any systemic and connectivity issues for downstream support areas.

New York, New York, Us

Controllers Group.- Documentation analysis and risk assessment of Stock Lending business. Analysis of settlement Fees and Rebates of stock loan billing contracts. Posistions, Mark to Market, Daily P&L and Risk. Quantitative anaylst for commissions and bonus accruals for various business units. Monthly financial statements for commissions business. Mutual Fund rebates, Gross and Net Credits.

Operational Risk - Calculation of risk thresholds and documentation of policies and procedures related to various risks of the businesses. Then moved into the Fixed Income P&L group where eod P&L was reported and Operational risks were captured, identified and risk mitigation done.

Finance, General

Economics

Business Administration And Management, General

Marketing

Advertising