It is no secret that the financial crisis of 2008 has increased the pressure on financial service firms.

This increased scrutiny means that financial institutions require a robust and integrated regulatory management strategy. 

A well-controlled, well-operated financial services business needs to mitigate its operational risks or weaknesses and it needs a plan to remediate those risks.

A comprehensive regulatory management strategy provides the oversight that firms need to navigate the regulatory waters and succeed in the marketplace.
Meet the Expert

About Joe

  • Former Managing Director and the Head of the Regulatory Management Team for JPMorgan Chase & Co. responsible for coordinating the firm’s internal dealings with supervisors and regulators globally. 
  • Designed and managed the firm’s Corporate Operational Risk function; and, prior to that, served as the firm’s Senior Credit Officer. He also was the General Manager of the Singapore Office and Regional Head of Credit for Asia Pacific. He was the Global Head of Credit Research and served for a time in Tokyo as the Head of the firm’s M&A Advisory function.
  • Bank Supervision and Regulation Division of the Federal Reserve Bank of Cleveland.
  • Founding member (JPMorgan) and Chairman, Operational Risk Data Exchange Association (ORX)
  • Vice Chairman of the Board of Trustees of Case Western Reserve University and serves as Chairman of the Finance Committee.


Managing Director • JPMorgan Chase & Co.
1982 — 2013
  • Global Head of Regulatory Management (2010-2013)
  • Global Head of Corporate Operational Risk (2000-2009)
  • Managing Director & Senior Credit Officer (1999-2000)
  • Asia Pacific Regional Head of Credit & General Manager, Singapore (1997-1998)
  • Managing Director & Global Head of Credit Research (1993-1997)
  • SVP & Head of Financial Advisory/ M&A, Tokyo (1988-1993)
Senior Bank Analyst • Fitch Investors' Service, Inc
Feb, 1981 — Jun, 1982
Supervision & Regulation • Federal Reserve Bank of Cleveland
1973 — 1981


Case Western Reserve University
MBA, Finance, 1981
University of Cincinnati
BA, Economics, 1973

Licenses & Certifications

Commissioned Examiner
Federal Reserve Board of Governors


Operational Risk Executive of the Year, Operational Risk & Compliance Achievement Awards 2007
ORX Fellowship 2010


  • Vice Chairman of the Board of Trustees of Case Western Reserve University and serves as Chairman of the Finance Committee.
  • Operational Risk Data Exchange Association (ORX), Zurich - Co-Founder and past Chairman of international operational loss data consortium.
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Best Practices

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Meeting Summary Report

After your call, Joe completes a Meeting Summary Report to provide you with the session’s discussion topics, analysis, assessment and recommendations for next steps. Sample

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