Alan E. Smith Email & Phone Number

440 South Lasalle, Chicago, Il 60605

Senior Compliance Analyst in charge of analyzing multiple rule reports such as Reg SHO, Reg NMS and limit order protection for possible NMS rule violations. Provided monthly summaries of findings to upper management. Ensured that customer received proper executions at correct prices. Collaborated with IT Department in correcting system issues that caused potential rule violations.

440 South Lasalle, Chicago, Il 60605

Surveillance Department Manager of three investigators and 1 analyst Responsilbe for reviewing investigators analysis of daily reports for possible rule violations.Assisted I.T. Department in developing accurate reports for potential rule violations.Drafted inquiry's to trading firms regarding potential rule violations.Drafted procedures for reviewing rule reports.

440 South Lasalle Chicago, Il 60605

Analyzed daily reports for possible rule violations and provided investigaton findings to Department manager.Assisted in developing protocols for report review.

Greater Chicago Area

Responsible for establishing a market in multiple equities and timely executing customer orders.

Greater Chicago Area

Responsible for establishing a market in in multiple equities and timely executing customer orders.

Greater Chicago Area

Served as main liaison between brokerage firms and stock specialists.resolved trade clearing discrepencies.Researched and solved trade problems such as price discrepencies and whether or notan order should receive an execution.Promoted to senior representive for demonstrating exceptional skill and knowledge and forability to cross train other Representatives.