Global Head of Risk Management
MarketAxess Holdings Inc. is engaged in electronic trading of corporate bonds and certain other types of fixed-income securities. Through the Companys platform, 649 active institutional investor client firms (firms that executed at least one trade through its electronic trading platform between January 2009 and December 2008) can access the aggregate liquidity provided by the collective interest of its 48 broker-dealer clients in buying or selling bonds through its platform. MarketAxess' active institutional investor clients include investment advisers, mutual funds, insurance companies, public and private pension funds, bank portfolios and hedge funds. Its revenues are primarily generated from the trading of United States and European high-grade corporate bonds. On March 5, 2008, the Company acquired Greenline Financial Technologies, Inc.
Career Summary-Twenty Five years auditing and risk mgt of leading financial institutions: coverage of Japanese and Asia Governance, Asset Mgt, Private Banking, Capital Markets: Sales and Trading of Equities and Fixed Income, reviews of Derivatives, Product Control (price verification), Credit, Market Risk and Suitability Issues; Corporate and Consumer Banking.-Consistently interacted with senior management; presentations to Board of Directors and served on various key management committees.-Advanced expertise in Japan, Asia and U.S. Regulations; long-term engagement in Japan/Asia business environment. Previously worked at U.S. Federal Reserve covering Bank Holding Company Act and Japanese Banking Operations of financial institutions in America. -Successful management of teams, goals oriented with positive close knit teaming approach. -Risk Management skills in the areas of Credit and Market Risk. -Project Management Skills within Asset Management, Banking and Securities, Compliance, Information Technology and SOX, all involving key stakeholders.===================================Management Recommendation: Citibank JapanUnder complex reporting line and highly regulated environment, Joseph strengthened the internal audit framework adding an Inspection Unit to the Internal Audit umbrella to be consistent with Japanese Mega Banks, and emphasized local regulatory risk where Citibank Japan had issues in the past. Significant contributions to Citibank Japan include conducting special a review of M&A related to the purchase of Nikko requiring managing offshore and local auditors for both Nikko and Citibank. Joseph also created a significant AML /ASF audit entity for the first time across all products. Similar to BofA and Morgan Stanley, he established pro-active relationships with audit clients and managed the largest Internal Audit team as a foreign bank in Japan. His management skills and risk identification of emerging risks is commendable.Specialties: Certified Internal Auditor; Advanced Regulatory Interactions --- Japan/Asia/States; Proven Audit Experience Internationally; Extensive experience in Japan/ Asia.
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