Richard H. Neiman

Vice Chairman, Global Regulatory Practice 
PricewaterhouseCoopers LLP

Richard Neiman advises and works with financial institutions, market utilities, and regulators around the world and serves as Vice Chairman of PwC's Global Financial Services Regulatory Practice. He also leads the firm's foreign bank regulatory practice advising foreign banks on governance, compliance, and business issues related to their operations in the US. He has extensive experience in the financial industry having served in a range of executive, regulatory and legal roles during his career. His recent substantive focus has been on Dodd-Frank implementations, including the Volcker Rule, OTC derivatives and resolution planning.

Prior to re-joining PwC in June 2011, Mr. Neiman served as New York State's Superintendent of Banks (March 2007 to May 2011), where he was responsible for the supervision of all state-chartered depository institutions, including the majority of foreign bank branches and agencies in the US. He also served as Chairman of the Foreign Bank Regulatory Committee of the Conference of State Bank Supervisors. While serving as Superintendent, Mr. Neiman was also appointed by US House Speaker Nancy Pelosi to serve on the five-member congressional oversight panel created to oversee and provide updates on the implementation of the Emergency Economic Stabilization Act, including the Troubled Asset Relief Program (TARP).

Previously, Mr. Neiman served as EVP and General Counsel of TD Waterhouse Group, a major broker/dealer and President and CEO of its affiliated national bank TD Bank USA. Earlier he was General Counsel of the global equities group at Citibank, and a Director in the regulator advisory practice of what was then Price Waterhouse LLP. He began his career with the Office of the Comptroller of the Currency in Washington, DC, serving initially as staff attorney and then as Special Assistant to the Chief Counsel.

Mr. Neiman currently serves on the Advisory Council of the Institute for Financial Market Regulation and on the Advisory Board of Columbia Business School's Chinese Business Initiative. He is also on the Board of the BAFT-IFSA and a member of The Bretton Woods Committee. Mr. Neiman also serves on the board of the Harlem Educational Activities Fund (HEAF), a mentoring a college preparatory organization, and on the advisory board of the Henry Street Settlement, one of New York's oldest social services organizations.

In 2010, Mr. Neiman received the Foreign Policy Association's Medal for Public Service, whose prior recipients included Treasury Secretary Timothy Geithner and New York City Mayor Michael Bloomberg.

 

 

IFMR Advisory Council Members