A senior risk management executive, with extensive experience in directing and conducting audit, compliance, and risk management functions for domestic and international Financial Services corporations. Developed new systems and procedures to significantly reduce corporate risk, enhance sales management efforts, and improve regulatory relations.

Career Highlights:

�        Creation of sales, trade practice, and operational compliance procedures for start-up brokerage boutique specializing in IPO�s and a bank-based brokerage entity.

�       Leadership of corporate involvement with all outside securities/bank regulatory authorities and internal examiners, yielding continually favorable reviews.

�         Extensive experience in directing and conducting audits in domestic and international offices, particularly in high risk/sensitivity situations.

�         Leadership and member of several standing firm committees for a bank brokerage venture, which advanced the firm�s culture of compliance.

�        Implemented systems and procedures to address a regulatory action which closed the regulatory issue and significantly increased the Registration Areas efficiency

Contact:  gsboccio@gmail.com