Mr. Taylor is Managing Director, U.S. Head of Global Markets Compliance at RBC Capital Markets, LLC, where he is responsible for Global Markets Compliance. The Global Markets Compliance team is responsible for Fixed Income, Futures, Central Funding, Global Equities, Operations, Regulatory Inquiries, OTC Derivatives and Volcker Rule advisory coverage in the U.S. Global Markets Compliance partners with the business for all new/existing business activity and product initiatives with the primary objective to achieve compliance and mitigate regulatory risk with all SRO rules and regulations.
Previously, Mr. Taylor was the Head of Derivatives Reform and Volcker Compliance, where he was responsible for implementation, advisory and regulatory guidance globally. In this position, he has responsibility for aspects of the firm’s Dodd-Frank Compliance Program, including the communication and interpretation of requirements, advisory, governance, training, attestation verification, polices/procedures, as well as for the integration of key controls essential for compliance with the rules.
Mr. Taylor joined RBC Capital Markets, LLC in 2008, responsible for advisory coverage of Fixed Income Sales, Trading, and Underwriting and was promoted to Head of Fixed Income Compliance.
Mr. Taylor was a member of Lehman Brothers’ Compliance Group and held several positions including Vice-President in Fixed Income Advisory (Rates, Mortgages, and Foreign Exchange), Regulatory Inquiries, Communications, and Branch Examination Compliance areas. He began his career as a Financial Operations Examiner with NYSE Member Firm Regulation.
Mr. Taylor holds a B.A. in Finance from Morehouse College and a M.B.A. from New York University Stern School of Business.