Pine Grove Asset ManagementRole held 2011–2015
Operating, Valuation and Risk Committee chair
Partner / COO
- Chaired the Operating, Valuation and Risk Committees of the credit-focused fund-of-hedge-funds manager.
- Developed and maintained internal safeguards for firm assets while overseeing day-to-day and strategic business operations.
LaBranche & Co.Role held 1999–2007
Sarbanes-Oxley Steering Committee chair
Enterprise Risk Manager / CRO
- Served as Sarbanes-Oxley Steering Committee Chairman and Enterprise Risk Manager.
- Was accountable to the Executive Committee and the external public Board of Directors for risk and control responsibilities.
Nikko Asset ManagementRole held 2009–2011
Global Risk Committee
COO / CFO, New York adviser
- Served on Nikko’s Global Risk Committee while leading the New York adviser’s finance, risk, technology, compliance and operational divisions.