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Risk and Compliance Policy Writer,
Risk and Compliance Policy Writer,
List of Contributions
email@example.com Tel: 212 202 5566
Risk Smart Inc. is a highly-experienced, focused boutique risk management firm. Our approach is highly customized and personalized to each client’s specific needs. We make the most sense for either a large organization’s specific project or a smaller entity’s risk management content and strategy.
As your selected risk management partner, you will benefit from the depth and breadth of our knowledge in both financial (Credit/Market/Operational) and
risks (Cyber, Fraud, Anti Money Laundering, Reputation, Model and Third Party). This translates into a best-in-category service at a more affordable rate.
We specialize and focus on the documentation and remediation of Audits, Compliance and Regulatory Finding.
Writing technical risk and control documentation for internal and external stakeholders
Providing independent verification and evaluation of risk and compliance management documents.
As a Chief Risk Officer, John has worked with Top Tier Firms, and in that capacity, has interacted and engaged with US and European regulators. John holds an MBA from the Chartered Institute of Bankers and was a Lecturer in Banking, Economics
Law at various further
colleges in the U.K.
He is a frequent contributor and speaker on risk for various risk, compliance associations and industry bodies.
Global Market Limit Structure and Standard for Mizuho US Operations to meet US regulatory standards.
Independent Price Verification Policy and Standard for Mizuho US Operations to meet US regulatory standards.
Policy and Standards for a US Swap Dealer involving Operational, Liquidity, Credit, Market Risk and Central Clearing Counterparty Risk to meet Enterprise needs.
Policy and Standards for a US Swap Dealer involving Model, Settlement and New Product Risk Management to meet Enterprise needs.
Credit and Market Risk Governance and Policies Document for Amherst Pierpont, a US Broker Dealer which enabled it to pass the FINRA examination.
Risk Identification Program for the Royal Bank of Canada and BancWest (
of BNP Paribas) which served as the foundation stone for CCAR.
Global Prime Brokerage Platform for Société Générale, HSBC and Citigroup which serviced multi-product asset classes across various jurisdictions.
Risk Radar for Société Générale for portfolio and forecast balance sheet changes to reduce risk and volatility.
Cross Product Margin Platform for all asset classes for Deutsche Bank AG, whose system has since proved to be best in class in the Prime Brokerage Industry.
Risk Control Self-Assessment Program for a US Regional Bank which was successfully rolled out to all business and support functions.
Enterprise-Wide Risk Framework and structure for a US broker Dealer, compliant with both US and European Regulators.
Policy and Procedures document FINRA Rule 4210 for a US Broker Dealer which improved organizational efficiency and accountability.
Membership and Associations
Global Association of Risk Professionals.
Risk Management Association
Association of Certified Fraud Examiners
Association of Certified Anti Money Laundering Specialists
New York Chamber of Commerce
Financial Executive Networking Group
Financial Executives International
Honors and Awards
Associate of the Chartered Institute of Banking (ACIB): Top Fifty in
in the UK
Associate of the Chartered Institute of Marketing (ACIM)
Associate of the Chartered Institute of Treasury (ACT)
Financial Studies Diploma (DipFSD): Chartered Institute of Banking
Certified Project management Professional (PMP)
Certified Fraud Examiner (CFE)
Certified Anti Money Laundering Specialists (CAMS)
“3 Core ingredients of a Strong Risk Culture “(ACFE)
“How to make Regulatory Change Actions Work For Your Company” (ACFE)
“7 Compliance Program Risk Management Needs for 2018/2019” (ACFE)
“A Framework for Effective Fraud Risk Management “(ACFE)
“6 Risk Management methods to reduce the Inherent risks of Cryptocurrency” (RMA)
“Breaking down the inherent risks of Cryptocurrencies” (RMA)
“The Risks in Financial Derivative Contracts” (RMA)
“Why it’s important to document the needs of Risk Management” (FEI)
“7 Key Guidelines for Effective Risk Documentation” (GARP)
“$18mm million plus for poor risk documentation” (GARP)
“7 Top considerations to monitor and manage Cyber Risk” (GARP)
“4 steps to develop and maintain an effective Fraud Risk Management Program” (GARP)
“4 components of an effective Culture Risk Framework” (GARP)
“What does IFRS9 teach us about CECL” (GARP)
‘6 Core Organizations activities to be incorporated into Enterprise Risk Management “(GARP)
“How to Limit and Better manage Fraud: A Risk perspective” (GARP)
“12 Step approach for a GDPR Risk Management Framework”. (GARP)
Chartered Institute of Banking
Financial Studies Diploma
1986 To 1992
Institute of Project Management
Risk Smart Inc
Risk and Compliance Consultant
New York, NY, United States
June 2010 - present
Chief Risk Officer
November 2010 - October 2011
Consultant Prime Services
June 2010 - November 2010
Penson Worldwide Holdings ( US Clearing and Futures Firm)
Chief Risk Officer
February 2008 - March 2009
Director of Cross Product Margining
January 2004 - January 2007
Head of Equity Finance Risk
January 2001 - January 2004
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