James Knoblauch

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+1 212 542 6565 direct
New York

Previous Experience

  • Head of Compliance Testing and Monitoring Unit, Morgan Stanley
  • Head of Operational Risk of Fixed Income Unit, Citigroup

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James Knoblauch


James advises clients on a wide range of issues related to controls, compliance and risk management. He has special expertise in areas such as derivatives, commodities, options, futures, securitizations, mortgage-related instruments, foreign exchange, equities, fixed income, municipals, funds and fund management, operations, and trading.


James has extensive experience on the regulatory side of financial services, having worked as the head of compliance testing and monitoring unit at Morgan Stanley. He also served in several positions at Citigroup, including as the head of operational risk in the fixed income unit, and also in executive roles in risk management global transaction services, the risk management funds and securities services unit, and internal audit. He was also the head of money market operations in foreign exchange for Barclays’ U.S. office.


  • M.B.A., finance, New York University
  • B.S., accounting, University of Minnesota

Affiliations, Awards, and Civic Engagements

  • Certified public accountant
  • New York State Series 7, Financial Industry Regulatory Authority
  • Member, General Securities Representative
  • Member, American Institute of CPAs
  • Member, New York chapter, Global Association of Risk Professionals
  • Member, New York City chapter, Professional Risk Managers International

Representative Engagements

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