Robert Ball
- Role
- Executive Director-compliance and Risk Management, Securities Services, Corporate Investment Bank at JPMorganChase
- Location
- New York, NY, US
- LinkedIn followers
- 500 followers
About Robert Ball
Financial services executive with extensive experience coordinating activities of…
Experience
Executive Director-compliance and Risk Management, Securities Services, Corporate Investment Bank
Jan 2017 — Present
Global Lead for Fiduciary Advisory and ERISA. North America Lead for Trading Services (Agent Securities Finance, Depositary Receipts, Collateral Management). SME for Trust, Custody and Funds Services. Provide governance and oversight of policies, regulations, and procedures including fiduciary responsibility, ERISA, OCC 12 CFR Part 9, conflicts of interest, DOL requirements, 5500 reporting, 408(b)(2) disclosures, investment management, QPAM, Investment Advisor Act of 1940, and IRS qualification. Coverage areas include ERISA, Fiduciary Advisory, U.S. Trading Services, Benefit Payments, Corporate Trust, and relevant Custody, Fund Services, Markets, and Payments topics. Participate on new product, change management, and new business approval reviews. Diversity, Equity, and Inclusion (DEI) Mentor for Compliance and Risk Management.
Education
Rutgers Business School
MBA, Business Administration
Purdue Global
Master of Science, Legal Studies
Lafayette College
BA, Economics and Business
Skills
- Financial Services
- Cost Benefit
- Bloomberg
- Derivatives
- Customer Service
- Strategy
- Relationship Management
- Alternative Investments
- Erisa
- Global Custody
- International Trade
- Leadership Development
- Leadership
- Training & Development
- Administration
- Compliance Management
- Equities
- Financial Analysis
- Banking
- Management
- Team Management
- Finance
- Team Building
- Business Strategy
- Mutual Funds
- Capital Markets
- Business Process Improvement
- Fixed Income
- Hedge Funds
- Series 7
- Sales
- Project Management
- Portfolio Management
- Financial Risk
- Front Office
- Fiduciary Management
- Business Analysis
- Middle Office
- Strategic Planning
- Operations Management
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