Richard Ziegenbalg

Rich Ziegenbalg is the Division Director (MD) / Global Head of e-Comms Surveillance for Macquarie Group within Compliance.

Prior to Macquarie Rich was the Global Head of Surveillance for BNY Mellon where he was 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.

Rich also has previous experience in the first line of defense including roles as Managing Director and Global Head of Front Office Supervision at Barclays, Executive Director and Global Head of Supervision at Morgan Stanley, Executive Director and US Head of Trading Administration at UBS Capital Markets. 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.