Duncan (DJ) Hennes, Jr.

Email Email       

+1 212 365 6989 direct
New York


Home > People

Duncan (DJ) Hennes, Jr.

Senior Principal

DJ advises clients on regulatory issues involving compliance, risk management, and governance, with a focus on capital markets and derivatives. He has assisted banks, exchanges, clearinghouses, futures commission merchants, broker-dealers, swap dealers, hedge funds, and major swap participants on matters related to capital markets. DJ has helped institutions understand the compliance, legal, and operational risks associated with their derivatives activities, in light of the passage of the Dodd-Frank Act and promulgation of the rules that implement the act. He has assisted institutions in determining applicable regulations; identifying gaps in existing compliance, technology, and risk management programs; and formulating and executing implementation plans. In addition, he has helped financial institutions develop regulatory reporting, training, and compliance-risk assessments and monitoring and testing programs.

Experience

DJ has extensive experience assisting trading and brokerage clients in evaluating the effectiveness of, and making enhancements to, their programs, systems, and controls related to governance, risk management, transaction surveillance, branch office supervision, operations, and compliance.

Education

  • B.A., cum laude, Vanderbilt University


Affiliations, Awards, and Civic Engagements



Representative Engagements

  • Assisted a foreign banking organization with U.S. operations in calculating its swap dealing activity to determine if it was required to register as a swap dealer under Title VII of the Dodd-Frank Act.
  • Advised foreign and domestic banking organizations on the applicability of Dodd-Frank regulations. Provided guidance on implementing programs to comply with the regulations.

Enter Below Code :
refresh