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Ron Ziegler is an Engagement Director with Treliant. He is an experienced global risk management executive with expertise in forensic investigations, Bank Secrecy Act/Anti-Money Laundering (BSA/AML), Office of Foreign Assets Control (OFAC) sanctions, employee conduct risk programs, internal audit, and derivatives/securities trading at global investment and commercial banks. As a former financial crimes investigator, auditor, and capital markets trader, Ron brings 22 years of unique financial services experience to assess risks from a variety of angles and provide commercially effective solutions to complex matters.

Prior to joining Treliant, Ron held leadership positions at Goldman Sachs including:

  • Global Head of Forensic Investigations for Global Compliance, responsible for establishing a specialized unit within Financial Crime Compliance with advanced systems for conducting forensic investigations to proactively identify risks of money laundering, terrorist financing, insider trading, market manipulation, bribery, tax evasion, and other forms of misconduct
  • Oversight of the Financial Intelligence Unit, performing holistic AML transactional reviews across a number of high-risk client populations e.g., Politically Exposed Persons and non-US financial institutions 
  • Co-Head of Audit for Fixed Income, Currency, and Commodities and Global Head of Audit for Product Control, responsible for developing and executing risk-based audit plans
  • Co-Audit Lead for Model Risk Management, responsible for assessing compliance with the Supervisory Guidance on Model Risk Management (SR Letter 11-7), jointly issued by the Federal Reserve and Office of the Comptroller of the Currency (OCC)

Previously, Ron worked at HSBC as a Senior Manager in the Audit Group, responsible for evaluating the Global Banking and Markets control infrastructure, and as a Program Manager in the Office of the COO, implementing a new strategic operating model for the Global Banking and Markets business segment. He was also a Manager in the Fixed Income Capital Markets Audit Group at Citigroup and an Interest Rate Derivatives Trader at JP Morgan.

Ron holds an MS in Risk Management from New York University’s Leonard N. Stern School of Business and a BS in Finance from the University of Rhode Island. He is a member of the Financial Threats Council at the Intelligence and National Security Alliance (INSA).

Areas of Specialization

  • Anti-Bribery and Corruption
  • Anti-Money Laundering / Bank Secrecy Act
  • Compliance Audits
  • Compliance Programs
  • Conduct Risk
  • Corporate Investigations
  • Email Review / Surveillance
  • Financial Investigations
  • Forensic Accounting
  • Fraud Risk Management
  • Government Investigations / Whistleblower Response
  • Independent Monitorships and Consultancies
  • LIBOR Conduct
  • Lookbacks
  • OFAC / Economic Sanctions
  • Remediation Plans / Implementation and Effectiveness Testing
  • Securities Compliance / Brokerage
  • Trading Room Conduct & Compliance