About The Website

This is the professional home of Joseph J. Rongo, a compliance, data governance and risk executive with more than 20 years across SMBC, UBS, Wells Fargo, Citi and hedge funds/broker-dealers. Joseph builds the controls, data quality standards and reporting that regulators, auditors and Boards rely on, and has carried regulatory remediation through to closure with the Federal Reserve, the OCC and Internal Audit. His background runs from clearance, settlement and trade surveillance through financial crimes, third-party risk and compliance technology. CAMS | CFE | MBA

Solution & Deliver
Core Competencies:    
  • Strategic Planning & Multi-Year Roadmaps
  • Data Governance, Data Quality & Lineage Testing
  • Financial Crimes Compliance (AML, Sanctions, KYC/CDD/EDD)
  • Risk & Control Framework Design
  • Operational Resilience & Incident Management
  • Regulatory Remediation & Exam Readiness (Federal Reserve, OCC)
  • KRI/KPI/KCI Frameworks & Executive Reporting
  • Control Testing & Quality Assurance
  • Third-Party & Vendor Risk Management
  • Risk Governance, Escalation & Board Reporting
  • Compliance Technology Investment ($30M+ portfolio)
  • Trade Surveillance, Clearance & Settlement
  • Applied AI: Microsoft CoPilot in production; self-built tools using Claude


     
Edward S.
Office of the Comptroller of the Currency

I have had the pleasure of working for Joe for almost three years. The consummate professional, Joe used his drive, determination and negotiating skills to navigate some of the most complex processes governing the acquisition and usage of cross border data. Joe constantly looked to see how his actions supported and improved the companies mission. If given the opportunity I would look to work with Joe on any team.

     
Rajat S.
Technology Director, Global Bank

I have worked on several multimillion dollar global Risk Management technology integration projects with Joseph, and some have spanned over several years. Joe has the ability to deliver critical insight into the most difficult and arduous business critical milestones with impeccable timing. He has always provided strategic guidance and subject matter expertise in the area of Compliance. Not only does Joseph understand Risk, Compliance, and Markets, he also understands technology planning, requirements, SDLC, and database design. Joseph focuses on delivery while never sacrificing quality. Joseph was always able to maintain a view of the big picture and ensure the tactical solutions stayed aligned with the Strategic direction. Joseph has a keen understanding of technology budgets and raises the level of everyone’s game. Joseph leads with passion.

     
TJ H.
Chief Audit Executive

I had the pleasure of working with Joe over the past three years. He and his team supported critical delivery of various data acquisition, data validation, and coordination of various risk assessment tool deployments. What I enjoy most about Joe is that he calls it like he sees it, works effectively across the organization, is always collaborative, and maintains a keen sense of execution quality and delivery. During the most challenging times, he maintained a balanced approach, provided direction and valuable suggestions for prioritizing commitments, escalated timely, and engaged the appropriate parties for problem resolution. Joe is a reliable contributor and a pleasure to work with.


Compliance & Regulatory Readiness

Direct guidance, control considerations, and subject matter expertise to prepare for Regulatory exams and audits.

Risk, Data & Governance Insight

Setting data quality standards and controls, identifying and assessing risk, testing what’s in place, and building the oversight that holds up to regulatory examination.

Operations & Strategic Execution

Streamline processes, improve operating models, and deliver strategic initiatives with measurable outcomes.



  • New York Metropolitan Area, USA