John Carpino is an experienced risk and control professional with over 25 years of experience in operational risk, audit, internal control, compliance, and finance. He has held roles at several large financial institutions where he developed and implemented operational risk programs, ensured compliance with regulations, and identified and mitigated risk issues. He maintains several professional certifications in internal auditing, risk management, and compliance.

1. JOHN A. CARPINO
CIA, CCSA, CFSA, CRMA, CRCP
161-36 87 Street Howard Beach NY 11414, johnacarpino@aol.com 718-249-5195
Career Summary
An exceptional Risk and Control professional with extensive experience in Operational Risk, Audit, Internal Control, Compliance and
Finance, currently maintains several certifications and has prior experience in implementing effective internal control frameworks for
both publicly and privately held companies. Also has the ability to work as an advisor implementing best practices which result in
process improvements and increased efficiency. Ability to implement change delivering value added results. Prior experience ensuring
large financial institutions comply with various regulations (e.g., SEC, FINRA, Basel, Dodd-Frank, Volcker and CFTC).
EXPERIENCE:
March 2015 – Present Mizuho Capital Markets Corporation., New York, NY
Operational Risk Consultant (eDelta Consulting)
• Developed and implemented the following components of a new Operational Risk program;
• Consult with stakeholders, draft and develop policies and procedures.
• Monitor record and approve internal and external events, loss data collection.
• Develop Risk Control Self-Assessment (“RCSA”) model and Key Risk Indicators (“KRIs”).
• Management tool to simulate stress testing and scenario analysis.
• Quarterly power point presentation to report to the Operational Risk Committee.
• Ensured compliance with regulatory requirement (e.g., Basel II).
May 2011 – Feb 2015 SOCIETE GENERALE INC., New York, NY
Vice President Operational Risk Manager – Corporate & Investment Banking
(Formerly NEWEDGE USA LLC. – down sized)
• Responsible for the daily risk management oversight function within the Americas region, including,
front office (e.g. Sales & Trading) and support functions.
• Identified measured mitigated and reported risk and internal control weakness for trading and process
risk.
• Completed Dodd-Frank front office Risk Control Self-Assessment (“RCSA”) for the following business
lines; Commodities, (e.g. listed and OTC), Fixed Income, Foreign Exchange and Interest Rate Swaps.
• Completed front office scenario analysis analyzed results to assist in the measurement of future outcomes
measured against risk appetite.
• Prepared quarterly Operational Risk Committee metrics including results of completed RCSA, errors,
incidents and status of open action plans.
• Monitored tracked and escalated limit breaches in Market and Credit Risk for OTC and Futures trades.
• Ensures Key Risk Indicators (“KRI”) are effective in measuring risk probabilities, occurrences and
potential losses.
• Properly escalates critical errors and incidents, coordinates Error Discussion Meetings for significant
trading losses (e.g. >€20K) or other rouge trading identified.
Jan 2009 – May 2011 Project Consultant, New York, NY
• National Grid, U.S. Governance & Control (Consultant Nov 2010 – March 2011).
• Completed Certified Internal Auditors Exam (October 2010).
• The Garnet Group Inc., Interim CFO (Consultant Jan 2009- March 2009).
Dec. 2006 – Dec. 2008 LEGG MASON & CO., New York, NY
Assistant Vice President - Financial and Operational Control
• Developed and executed compliance test procedures ensuring registered investment advisors comply with
sections 302 & 404 of the Sarbanes Oxley Act of 2002 and Investment Company Act of 1940.
• Developed due diligence procedures (e.g., checklist, review of SSAE 16) for outsourced service
providers.
• Developed reporting metrics based on results of annual due diligence reviews and reported results and
potential deficiencies to senior management and Board of Directors.
• Developed implemented and executed Risk Control Self-Assessment (“RCSA”) for all Mutual Funds
regulated under the Investment Company Act of 1940 and non-regulated Funds (e.g., Hedge Funds).
• Enhanced firm wide governance through the implementation of internal control framework (e.g., COSO).
• Performed quarterly validation to ensure the “FIVE” components of COSO are operating effectively.
• Responsible for the planning, timing, supervision, completion and reporting of all quality assurance
reviews.
• Trained, coached and managed a staff of five Internal Control Analysts.
• Reviewed and signed off on final work of Internal Control Analysts to ensure test procedures comply
1

2. JOHN A. CARPINO
CIA, CCSA, CFSA, CRMA, CRCP
161-36 87 Street Howard Beach NY 11414, johnacarpino@aol.com 718-249-5195
with IIA standards and sections 302 & 404 of the Sarbanes Oxley Act of 2002.
July 2006 – Sept. 2006 TULLETT PREBON LTD., New York, NY
Vice President/Audit/North America/Capital Markets
• Performed financial and operational audits for various trading desks which included domestic and
Foreign Equities, ADR, listed and OTC Derivatives, Fixed Income and Foreign Exchange.
June 2002 – July 2006 THE BANK OF NEW YORK CO., New York, NY
Assistant Vice President/Audit/Capital Markets
• Supervised staff on financial, operational and compliance audits for various business units which included
Capital Markets, Hedge Funds, Broker and Derivative Dealers (e.g., Futures, Options and OTC).
• Planned and managed banking business audits to ensure compliance with regulatory requirements (e.g.,
KYC, USA Patriot Act and BSA).
• Verified accuracy and reliability of financial systems and accounting records to ensure compliance with
Sarbanes Oxley sections 302 & 404.
• Evaluated application and effectiveness of risk management procedures and methodologies.
• Performed due diligence and management reviews for new Broker Dealer and Asset Management
acquisitions.
Advisory
• Participated on Technology Steering Committee to assist in the implementation of partnership accounting
system for $ 17 billion fund of fund.
Nov. 1998 – June 2002 AMERICAN EXPRESS TAX & BUSINESS SERVICES INC.,
GOLDSTEIN GOLUB KESSLER LLP, New York, NY
Audit senior, Financial Services Group
• Supervised staff on various financial statement audit engagements which included clearing and non-
clearing Broker Dealers, Offshore, Private Equity, Hedge Funds and Fund of Funds.
• Performed audit test work to validate financial statement accuracy in accordance with Generally Accepted
Accounting Principles (“GAAP”).
• Reviewed and computed client’s regulatory computations under SEC rule 15c3-1 Uniform Net Capital and
15c3-3 Customer Protection Reserve and Custody.
• Provided non-audit accounting services for Investment Partnerships which included, Broker
Reconciliations, and K-1’s, economic and tax allocations.
• Extensive client contact in regard to financial statement preparation and disclosure requirements for
regulated Broker Dealers under SEC Rule 17a-5(d).
• Assisted in the preparation of tax returns for Broker Dealers with less than $1million in annual revenue.
June 1996 – Nov. 1998 SCHRODER & CO., New York, NY
• Senior Auditor - Performed financial and operational risk based audits for brokerage clearing operations.
June 1989 – June 1996 LEHMAN BROTHERS., New York, NY
• Staff Accountant - Product Control Equities
CERTIFICATIONS
• Certified Internal Auditor (“CIA”), Institute of Internal Auditors.
• Certified Financial Services Auditor (“CFSA”), Institute of Internal Auditors.
• Certified in Control Self Assessment (“CCSA”), Institute of Internal Auditors.
• Certified Risk and Compliance Professional (“CRCP”), International Assoc of Risk & Compliance.
• Certified in Risk Management and Assurance (“CRMA”), Institute of Internal Auditors.
• Series 99 Operations Professional (not registered), FINRA.
• Series 3 National Commodities Futures Exam (not registered), NFA
• Series 7 General Securities Representative (not registered), FINRA.
EDUCATION SAINT FRANCIS COLLEGE., Brooklyn, NY
Bachelor of Science, Accounting May 1989
SKILLS Microsoft Excel and Word, Power Point, Visio, Advent Partner, Go System Audit/Tax, QuickBooks,
PeopleSoft
PROFESSIONAL
AFFILIATIONS Institute of Internal auditors, New York Chapter.
2

3. JOHN A. CARPINO
CIA, CCSA, CFSA, CRMA, CRCP
161-36 87 Street Howard Beach NY 11414, johnacarpino@aol.com 718-249-5195
3