23 October 2017
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Kaizen hires former DTCC man Mooney as regulatory consultant

19 September 2017  |  2166 views  |  0 Source: Kaizen

Leading regulatory reporting assurance company Kaizen Reporting is pleased to announce that James Mooney has joined its team in London as a regulatory consultant.

James is a derivatives regulatory expert whose most recent role was at global financial services corporation Depository Trust and Clearing Corporation (DTCC). Prior to that he was with Fidelity Investments.

Kaizen Founder and CEO Dario Crispini, said, “I’m delighted that James has joined Kaizen to support our growing client base of tier 1 and 2 banks, fund managers and brokers. He brings a deep understanding of trade repository requirements across multiple jurisdictions including DFA, EMIR, Canada, ASIC, MAS and HKMA. Alongside his technical knowledge, his practical knowledge of the regulations and experience of serving large global clients are invaluable.”

The new role reflects the growth Kaizen is experiencing as it responds to increased demand for its quality assurance services that address the increasing complexities of regulations such as MiFID II and EMIR 2.0. Its client base has significantly expanded in the past two quarters to include an additional three tier 1 banks, several of the largest global asset management firms and one of the world’s largest brokers.

Dario, formerly head of the FCA’s Transaction Monitoring Unit, continues, “Firms have struggled to get their reporting correct under the much less complicated MiFID regime for nearly ten years - and it’s about to get a lot more challenging. Testing and reconciliations are mandatory under MiFID II and it’s important that firms put the right controls in place now so that they hit the ground running with their reporting on 3 January 2018.”

James Mooney, said, “It’s great to be joining Kaizen at such an exciting time as it takes on more clients and expands the jurisdictions it covers. Kaizen are the industry experts in regulatory reporting and pioneers in their approach to testing, which is fast becoming the industry standard. Its mission to give its clients confidence in their reporting quality really resonated with me and I’m proud to be part of a team that wants to improve data quality standards in the industry.”

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