Compliance and Management Consulting services(via acquisition from Jordan & Jordan in July 2021)

• Regulatory Change Management for the firm. We guide the regulatory-motivated initiatives from the idea to completion.• Prominent role in Software Development Lifecycle Oversight, various Risk Governance committees.• Regulatory Affairs: preparing responses to regulatory inquiries and examination findings requiring “translation” and assessment of esoteric technological terminology.• Industry representation: serving on SIFMA and FIF workgroups, covering a variety of hot topics.• Partnering with Technology and Information Security teams in advisory and oversight capacity.• Subject matter expertise in various regulatory reporting regimes, such as CAT, LOPR, OATS, ACT, EBS

Regulatory Risk practice:• Client Engagements: providing subject matter expertise, conducting reviews / assessments of regulatory reporting systems, policies & procedures. • Internal projects: developing the vision and strategy for the new generation of tools that will change the game.

• Representing Direct Edge in working groups on the Consolidated Audit Trail (CAT) industry initiative: being heavily involved in analysis, authored a number of proposals for the Joint Subcommittee Group and Development Advisory Group. Working with industry groups (FIF, SIFMA) to clarify the design proposals.• Technology Compliance role: oversight of the SDLC, incident management, change management. Independent review of design and architecture, working closely with IT to document solutions and internal controls.• Product Manager for Compliance-owned strategic projects.• Assistance to Legal & Compliance staff with technically-involved issues. Driving change to documented policies and procedures in order to align the processes with the industry best practices and SEC (ARP, OCIE) recommendations.The role ended with the acquisition of Direct Edge by BATS Global Markets.

Senior Project Manager / Business Analyst in Regulatory Reporting team of JP Morgan Chase. Focus on global projects across trading systems, data warehouse and regulatory reporting systems. SME in non-financial regulatory reporting for a US broker/dealer. Actively engaged in industry groups (FIF, SIFMA) on numerous topics, such as Consolidated Audit Trail, Large Trader, etc.

Senior Project Manager / Business Analyst dedicated to cross-functional projects, including Compliance initiatives at Barclays. Focus on front office trading systems, Compliance, regulatory reporting and surveillance. Acted as SME for regulatory reporting (OATS, ACT, etc.), interfacing with Compliance, Operations and IT.

Project & department manager