Kevin Riley

About Kevin Riley

I assume Accountable Executive/Supervisory responsibility for things that carry material risk and drive a solution that minimizes the exposure to an organization- I define aggressive execution plans that require engagement across asset classes globally and the corresponding first & second line functions- The solutions are scalable and have longevity as they sustain intense regulatory scrutiny but commercially allow businesses to grow- Examples includes Supervisor for two US Dark Pools (#4 Market Share), Accountable Executive for Global Electronic Trading standard, Accountable Executive for Trade & Transaction Reporting, Accountable Executive for MiFID II deliverables and Supervisor for 15c3-5 Market Access.

Experience

1. Global Head of Business Controls

   Citadel Securities

   Jul 2018 — Present · New York, NY, US

   Responsible for building a global Business Controls framework across all Citadel Securities businesses. Coordinate with stakeholders from Chicago, NYC, London, Dublin and Hong Kong to establish a physical presence within each region. Responsible for managing strategy for tools, processes and outcomes in areas including supervision, regulatory risk, operational risk, reputational risk, capital management, and corporate actions- Product lead for building out next generation real-time alerting platform - Responsible for establishing 1st line defense processes supported by delegation and interlocking with 2nd line control functions - Responsible for overseeing erroneous order entry controls and aggregate post trade controls mandated by 15c3-5, RTS 6 HFT/Algo and other local regulations governance electronic trading - Chair regional Electronic Trading governance meetings which oversee the development of new strategies - Serve as accountable executive for global portfolio of non-Financial Regulatory Reporting obligations (CAT, OATS, EBS, MiFID II Transaction Reporting, EMIR.)- Manage operation risk incidents - Member of Best Ex committee- Drive capital framework including allocations to individual businesses

Skills

• Financial Risk
• Fixed Income
• Securities
• Bloomberg
• Equities
• Finra
• Capital Markets
• Series 7
• Electronic Trading
• Equity Trading
• Derivatives
• Investment Banking
• Trading Systems
• Options