Led San Francisco based firm's expansion to New York - founding, supervising, managing New York branch officeCompliance: Advanced through multiple compliance and supervisory roles including branch manager, registered options principal, and Chief Compliance OfficerResponsible for ensuring firm's compliance with FINRA, SEC, and Exchange rules and regulations Created and coordinated firm's responses to regulatory inquiries and successfully led firm through multiple… Show more Led San Francisco based firm's expansion to New York - founding, supervising, managing New York branch officeCompliance: Advanced through multiple compliance and supervisory roles including branch manager, registered options principal, and Chief Compliance OfficerResponsible for ensuring firm's compliance with FINRA, SEC, and Exchange rules and regulations Created and coordinated firm's responses to regulatory inquiries and successfully led firm through multiple FINRA audits achieving zero regulatory action eventsIdentified compliance gaps; established, maintained, and enforced Written Supervisory ProceduresOversaw firm’s agency trading desk focused on listed equity/equity option execution on an electronic and high touch basisOperations:Conceptualized and managed product development of proprietary enterprise management software to integrate front, middle, and back office functionsPossess deep knowledge of broker-dealer trading, compliance, and accounting workflow processes and operational challengesOversaw and coordinated transition to new clearing firm - ensuring a smooth migration of firm's OMS/EMS platforms, FIX connections, proprietary management software, and regulatory reportingSelected and negotiated the utilization of front/middle/back office technology vendorsSales & Trading:As Director of Trading, I handled all aspects of the execution of equity and equity derivative trades, including implementing complex strategies such as volatility arbitrage, dispersion, and event-driven options and pairs tradingProven track record creating and driving revenue among buy-side and sell-side clientsManaged and cultivated strong relationships with counter parties, brokers, layoff accounts, and exchange operators (e.g. dealer desks, market makers, prop desks, floor brokers, software vendors, etc.)Developed and drafted derivative trade ideas for internal and external distribution Show less

Responsible for prospecting and closing new accounts, selling the firm's research, equity/option execution, corporate access, and capital introduction services to institutional asset managersDeveloped statistical models to analyze derivative pricing trends around corporate eventsHandled trade executions for demanding buy-side client base and provided support to firm's team of sales tradersPrepared and distributed daily briefs focused on arbitrage strategies and… Show more Responsible for prospecting and closing new accounts, selling the firm's research, equity/option execution, corporate access, and capital introduction services to institutional asset managersDeveloped statistical models to analyze derivative pricing trends around corporate eventsHandled trade executions for demanding buy-side client base and provided support to firm's team of sales tradersPrepared and distributed daily briefs focused on arbitrage strategies and derivative market intelligence Show less

Built Institutional client base selling electronic trading platforms/solutions and high touch execution services to buy-side clientsRecognized as leading salesperson in first year for opening nine new actively trading hedge fund accounts Record of success working within a 100% commission based compensation structure, consistently meeting monthly subscription and transaction based revenue targets, and personal income goalsResponsible for entire sales-cycle process from… Show more Built Institutional client base selling electronic trading platforms/solutions and high touch execution services to buy-side clientsRecognized as leading salesperson in first year for opening nine new actively trading hedge fund accounts Record of success working within a 100% commission based compensation structure, consistently meeting monthly subscription and transaction based revenue targets, and personal income goalsResponsible for entire sales-cycle process from lead generation, conducting meetings/presentations, closing, client on-boarding, and on-going relationship management and supportExecuted equity and equity option trades on an electronic and high-touch basis, with a focus on automated algorithmic strategies, volatility arbitrage, and risk-arb/stat-arb pairs trading Show less

Built Institutional client base selling electronic trading platforms/solutions and high touch execution services to buy-side clients through cold calling and networking. Executed equity and equity options trades for broad range of institutional asset managers employing a wide variety of investment strategies.

Responsible for opening new financial advisory accounts though cold calling and networking, delivering client presentations, and developing comprehensive personal financial plansDeveloped hunter sales mentality and professional cold calling skills