Camillo G.

Experience

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  B-Trade Services

  Jan 1998 - Jan 2007

  Director

  Director of Accounting and implement automation changes.

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  FINRA

  Nov 2008 - Jan 2011

  ROOR Associate Examiner

  ROOR examine financials/operations of medium to large firms.

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  Financial Industry Regulatory Authority

  Jan 2011 - Dec 2013

  Principal Examiner - Sales Practice

  ROOR Examiner for over 2yrs and presently Examiner on the Sales Practice side.

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  Deutsche Bank Securities

  Jan 2014 - Nov 2014

  AVP

  Regulatory Reporting - Daily Net Capital, Focus Topside entries , Deficit & Commodity Charges, 17-H and FINRA SSOI filing.

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  Citi

  Nov 2014 - Aug 2015

  Senior Consultant

  Review and write rules to automate for Treasury reports.

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  Raymond James

  Aug 2015 - Mar 2020

  Director Of Compliance

  • Assist Operations with effective and efficient design and execution of control processes which support regulatory and compliance requirements• Represent Operations in partnership with department managers on communication with, but not limited to: regulatory agencies, internal compliance, internal and external auditors, legal, sales management and accounting-regulatory reporting. • Act as the key Operations contact for annual FINRA FinOP and SRO exams.• Oversee firm Stock Record / Possession and Control issues as a Subject Matter Expert (SME) including, but not limited to: books and records, regulatory reporting adherence; technical knowledge required to ensure business information is correctly represented within reporting systems.• Coach and mentor associates; identifies training needs and approves development plans. • Interprets, applies and recommends changes to organizational policies and procedures. • Establishes objectives and develops processes and procedures to ensure efficient and timely work flow.• Provide guidance and input in recommendations for improvements to business processes.• Identifies trends and implements corrective action as necessary. • Prepare and communicate recommendations for strengthening controls and assists management in developing action plans to address control weaknesses. • Prepare written reports and delivers oral presentations to internal customers and management.• Perform other duties and responsibilities as assigned. Show less

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  Citi

  Mar 2020 - Jun 2021

  Compliance Assurance- VP

  Compliance Assurance testing for brokerage and banking business lines.

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  JPMorgan Chase & Co.

  Oct 2021 - now

  CCOR Monitoring & Testing Compliance Manager - VP

  The team is responsible for supporting these businesses by implementing a risk-based program designed to evaluate and test the effectiveness of internal controls, policies, procedures, and processes, which facilitate compliance with regulatory and internal business requirements. Responsibilities:• Communicate with relevant businesses, Line of Business Compliance, Operational Risk, Business Control Managers, and Technology partners while conducting detailed evaluations of i) internal controls, ii) policies, iii) procedures, and iv) processes that mitigate risks and reasonably ensure adherence to applicable regulations, legal obligations, and business requirements.• Identify potential or actual weaknesses in controls, processes, and procedures.• Interpret risk assessment results and develop appropriate methodologies and approaches to evaluate business related activities.• Communicate with relevant stakeholders to understand workflows, controls, processes, and procedures employed to mitigate compliance, conduct, and operational risks.• Write test reports that effectively communicate testing objectives, processes, methodologies, and results to senior management, business control managers, and other relevant functions.• Follow-up on statuses of identified issues until effectively remediated.• Communicate with CIB Regional Compliance Testing teams in EMEA, APAC and LATAM to ensure global testing consistency and promote adherence to testing standards.• Participate in special projects to enhance CCOR testing processes and practices. Show less