.02

PROJECT ACCOMPLISHMENTS

 
 
  • 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 an US Swap Dealer involving Operational, Liquidity, Credit, Market Risk and Central Clearing Counterparty Risk to meet Enterprise needs.

  • Policy and Standards for an 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 Pierpoint, an US Broker Dealer which enabled it to pass the FINRA examination.

  • Risk Identification Program for the Royal Bank of Canada and BancWest (subsidiary of BNP Paribas) which served as the foundation stone for CCAR.

  • Global Prime Brokerage Platform for Societe Generale, HSBC and Citigroup which serviced multi product asset classes across various jurisdictions. 

  • Risk Radar for Societe Generale 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 an US Regional Bank which was successfully rolled out to all business and support functions.

  • Enterprise Wide Risk Framework and structure for an US broker Dealer, compliant with both US and European Regulators.

  • Policy and Procedures document FINRA Rule 4210 for an US Broker Dealer which improved organizational efficiency and accountability.