Richard Aiello has more than 36 years of financial services and risk experience where in addition to strengthening overall operational control environments for all covered responsibilities, he was responsible for identifying and escalating several fraud/money laundering events at three of the firms where he was employed.
Prior to joining E*TRADE, he was the SVP of Global Operations Control and Reporting at Citi where he led the redesign of the RCSA program and provided risk and control oversight to their Institutional Clients Group Global Markets Division. Previously he was at BNY Mellon’s Pershing Division as Internal Audit Manager where in addition to his audit management responsibilities, he developed a back office Stock Record training program that was adopted by the firm and was certified eligible for Continuing Professional Education (CPE) Credits. Mr. Aiello also spent five years at Banc of America Securities as the VP of Operations Control and Regulatory reporting. Mr. Aiello held Operations Control/Internal Audit roles at DLJ/CSFB Direct, Shearson Lehman Hutton, L.F. Rothschild Inc., MKI Securities Inc., and Kidder Peabody & Co.
Mr. Aiello completed the Securities Industry professional development program at the Wharton School of Business. He holds his series 7, and 99 licenses and is a certified Six Sigma Green Belt.