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Richard Ziegenbalg

Richard Ziegenbalg

Global Head of Surveillance - Compliance, BNY Mellon

Rich Ziegenbalg is the Global Head of Surveillance for BNY Mellon. He is responsible for surveillance across the second line of defense including Trade Surveillance, e-Comms, and Voice Surveillance 

Prior to joining BNY, Rich was the managing Director and Global Head of Surveillance at Citigroup responsible for surveillance across the second line of defense including Trade Surveillance, Retail Surveillance, e-Comms/Voice Surveillance, Employee Trading /Outside Activities Surveillance, and Information Barrier Surveillance. 

Previously, Rich was the Managing Director and Global Head of Front Office Supervision at Barclays responsible for designing and implementing the supervisory risk and control framework across the first Line of Defense. Prior to Barclays Rich was Executive Director and Global Head of Supervision at Morgan Stanley responsible for building the Firm’s supervisory control framework for the first Line of Defense. Before Morgan Stanley Rich was the Executive Director and US Head of Trading Administration at UBS Capital Markets responsible for areas including supervision, client service, trading room technology, and vendor management. Rich was also an adjunct professor at Mercy College where he taught graduate level courses in Securities Operations and Investment Banking.

Rich began his professional career as an equities trader before transitioning into the risk and controls space.  Rich’s academic background includes a B.A. from Seton Hall University and a Master of Science in Securities Degree from Mercy College. 

 

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