John Noto, Governor
John Noto is an accomplished Operational Risk Management (ORM) subject matter professional and is currently a Senior Operational Risk Manager at the London Stock Exchange Group /FTSE Russell Indexes with responsibilities in the areas of data collections, data quality management, vendor management and data distribution within the securities markets. Previously he was responsible for the identification, management, measurement, mitigation and control of Operational Risk and for directing the Sarbanes-Oxley Act (SOX) compliance requirements at Mizuho Securities USA. John served on the Risk Management Committee, IT Management Committee, Operational Risk Management Committee and BCP/Crisis Management Committees. John has had extensive financial services, operational, regulatory and audit experience with a concentration in the Capital Markets and the Broker-Dealer Industry. He has held several high-ranking positions in Internal Audit at financial service firms, including Investment Banks, Broker/Dealers and has established first time Internal Audit and ORM Departments for financial service firms. John’s professional experience includes PricewaterhouseCoopers LLP, NatWest Markets, N.A., Fortis Financial Services, and Friedman Billings Ramsey Group. He also served as the President of the Securities Industry and Financial Markets Association – Internal Auditors Society in 2013. John has a Bachelor of Science Degree in Accounting from Fairleigh Dickinson University, is a Certified Financial Services Auditor and Accreditation in Internal Quality Assessment and Validation of the Institute of Internal Auditors, FINRA Series 99 and several SOX Certifications.