Principal, Financial Services Risk, Regulatory, and Financial Crime Technology Leader, PwC
John is a New York-based principal where serves as PwC’s Financial Services Risk, Regulatory, and Financial Crime Technology Leader He has more than 20 years of financial services and technology/control experience. John works with clients to integrate, configure, tune, and remediate risk, financial crime, regulatory, compliance, and continuous monitoring systems. He is a frequent speaker at national anti–money laundering (AML) and compliance conferences.
Previously, John served as the Head of Technology Audit for a large investment banking firm. In this role, he led a global technology audit team consisting of 60 individuals responsible for assessing the firm’s internal control structure, raising awareness of control risk, providing advice to management as they developed control solutions, and monitoring the implementation of management’s control measures. He also established an advanced analytics and forensics testing group within the firm’s Internal Audit department.
John also previously worked as a Principal at a global professional services firm, where he led the Compliance Technology Enablement Group for the New York Financial Services Office. He served as the engagement partner for several large-scale, high-profile regulatory projects to help financial services firms remediate deficiencies in their compliance programs. As engagement partner, he worked with senior compliance officers, operations executives, and technology leaders to implement regulatory-mandated solutions, resulting in the lifting of enforcement action for clients.
John’s team also designed a segmentation and tuning approach for a large diversified financial services firm that significantly reduced the number of false positive alerts without compromising alert quality. This approach and its results were evaluated by the firm’s regulators, who felt it was an improvement and a leading practice for AML monitoring. John’s team additionally managed the development of systems to monitor compliance and build regulatory and trade reporting systems for a separate financial institution.