Verified recordFinancial Services

Mario Ruffo

Director- Senior Regulatory Officer at Smbc Group

Based in New York, United States

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Seniority

Director

Department

Legal

Location

New York

Industry

Financial Services

Company size

14K

Contact information

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Email

1 credit

m•••••••@smbcgroup.com

Phone

5 credits

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Background

About Mario Ruffo

I am a Senior Banking professional with 15 plus years of expertise managing and supporting various business lines at large financial institutions and G-SIBs, including Compliance & AML, Risk Management stripes (Liquidity, Market Risk, Credit Risk, Operational Risk, Model Risk) bank regulation and program management. I possess extensive subject matter expertise and leadership experience in regulatory relations, examination management, governance/committee oversight, KRIs & KPIs, issue remediation/management and advisory functions. I also have a strong background with managing regulatory risk, regulatory supervision, and enforcement management. Broad-based experience interfacing with regulators (FRB, NYSDFS, FDIC, OCC, FINRA, SEC, NFA, etc.) C-suite executive management, and board members to advocate and execute sophisticated initiatives proven to strengthen firmwide governance and consistently achieve business objectives.

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