Partner – Financial Controls, Business & Project Management
Michael Dougherty is a senior financial professional with over 25 years of international banking and consulting experience. Michael’s expertise includes FX and Emerging Markets, Fixed Income products as well as Equity products. He has experience working with business partners developing and executing a business strategy while complying with multiple regulatory regimes (CFTC, NFA, FINRA, SEC and MiFID).
Most recently, Michael worked at Treliant Consulting on client engagements associated with LIBOR transition and establishing an FX business for a client, including enhancing their policies, operating procedures, controls, and their governance.
Prior to Treliant Michael spent 4 years working at the Royal Bank of Scotland/NatWest Markets managing multiple regulatory and change initiatives to improve controls and simplify/re-engineer the businesses. His responsibilities and projects included: CFTC Swap Dealer rules; Conduct related Regulatory Risk Assessments, FINRA’s Best Execution, Front Running and Price Mark-Up rules; a Federal Reserve trading conduct order; and TRACE violations remediation.
From 2003 to 2014 Michael worked in the Emerging Markets Trading and Sales business as the COO.
His responsibilities included: Business compliance with internal policies and procedures; 1LOD Supervision of traders and salespeople in the US and Mexico; Development of supervisory controls to detect fraudulent trading activities; Management of Emerging Markets risk and control forums; Development of 1LOD controls to mitigate operational risks and to comply with Dodd-Frank regulatory requirements. Michael also spearheaded the Dodd-Frank Swap Execution Facilities (SEF) business strategy and drove the integration and migration from ABN platforms to RBS platforms.
Michael previously worked at Zurich Financial Services and at Deutsche Bank in their Structured Transactions Group in New York and London.
He has a Bachelor’s of Science Business Administration majoring in Finance from the University of Illinois and an MBA majoring in Economics from Pace University.