SERVICES
End-to-end compliance and risk management
Compliance is a bank-wide commitment that affects our employees at every level. As US laws and regulations are constantly evolving and becoming more complex—such as the role of financial institutions in combating terrorism financing—we look to our team of dedicated legal and compliance staff to assess our operations and navigate the US legal system. At the core of our compliance effort is a customized bank-wide program that includes mandatory, periodic compliance training of all staff.
We also have a robust Enterprise Risk Management (ERM) approach that ensures a culture of excellence, including:
Structure, tools and techniques for sound risk identification and control strategy, and effective risk-support infrastructure
Policies and procedures for comprehensive corporate governance and a proactive, integrated approach to address operational and financial risks
Formal assessment and reporting of risks across the organization
Top-down and bottom-up approaches for mitigating risk
Central risk oversight for the company’s internal control framework, which is predicated on effective risk direction and guidance, e.g., policy making, monitoring techniques and reporting mechanisms
Custody Services are provided by Mizuho Bank (USA). Mizuho Bank (USA) is a New York State-chartered bank and a member of the Federal Reserve System and of the Federal Deposit Insurance Corporation
Meet our people
Dawn Yiannoullou
Americas
Managing Director, Deputy CIO
Information Technology
Natalee Graham
Americas
Managing Director
Compliance
Doug Glickman
Americas
Managing Director, Head of Loan Sales & Trading
Loan Sales and Trading
Adam Hopkins
Americas
Managing Director, Deputy General Counsel
Legal
Michael Corino
Americas
Managing Director
Information Technology