Ben Gray Email & Phone Number

Norwalk, Connecticut, United States

Chief Compliance Officer for Sell Side Investment Banking Advisory firm. Respond to requests and examinations by FINRA, SEC, and State regulators. Review employee trading activity and outside accounts. Perform all AML and KYC vetting for all potential Investment Banking Advisory clients. Perform monthly reviews of all outside trading accounts. Review and approve all marketing and advertising materials, both incoming and outgoing including e-mail, for all regulatory requirements. Developed, implemented, and administered firm CE and annual compliance conference requirements. Liaised to small broker dealer advisory group interfacing with FINRA committees, news media. Project Life Cycle for updating existing and developing new Compliance related monitoring systems. Perform all compliance reviews and procedures to ensure firm is fully compliant with all regulatory rules and regulations.

Greater New York City Area

FINRA, NFA, FCA compliance consultant handling all related projects for small, medium, and large financial institutions. Experienced with Anti-Money Laundering, Annual Compliance reviews and meetings, Firm Element Continuing Education programs, Regulatory Inquiries, email reviews, risk management, investment act of 1940 reviews and filings. 30 years experience in Financial Services Compliance. Series 4,7,9,10,14,24,53,57,99 licensed.

New York, Ny

Chief Compliance Officer for Equity and Options Market Maker and Crypto Currency trading firm. Responsible for all compliance functions including interfacing with industry regulators, employees, and firms requesting access to proprietary trading platform. Anti-Money Laundering reviews is primary for cryptocurrency business. Company closing Broker Dealer to concentrate on Cryptocurrency.

New York, Ny

- Responded to requests and examinations by FINRA, SEC, and State regulators. - Reviewed employee trading activity and outside accounts.- Review all activities of firm including approval of new REIT prospectus materials and Accredited Investor information for completeness and suitability.- Perform monthly reviews of all outside trading accounts. - Reviewed and approve all marketing and advertising materials, both incoming and outgoing including e-mail, for all regulatory requirements.- Developed, implemented, and administered firm CE and annual compliance conference requirements.- Liaised to small broker dealer advisory group interfacing with FINRA committees, news media.- Project Life Cycle for updating existing and developing new Compliance related monitoring systems.- Perform all compliance reviews and procedures to ensure firm is fully compliant with all regulatory rules and regulations.

Greater New York City Area

• Responds to requests and examinations by FINRA, MSRB, SEC, and State regulators. • Review employee trading activity and outside accounts. Review all activities of Hedge Fund of Firm.• Approve new accounts and perform monthly reviews of all trading accounts and Hedge Fund. • Review and approve all marketing and advertising materials, both incoming and outgoing including e-mail, for all regulatory requirements.• Monitor firm’s trading activity and surveillance in compliance with all FINRA and MSRB requirements for Corporate, Emerging Markets, High Yield, Distressed, Investment Grade, Convertible, Municipal, and Government Fixed Income products. Monitor Hedge Fund for same• Develop, implement, and administer firm CE and annual compliance conference requirements.• Liaise to small broker dealer advisory group interfacing with FINRA committees, news media.• Review and monitor all TRACE, 144a, new issue, grey market, and Regulation S transactions and reporting requirements for the firm. • Establishment of branch offices in Hong Kong and Singapore interfacing with all regulatory authorities to meet all registration requirements and open branch offices with policies and procedures manuals meeting local regulatory requirements. • Develop, implement, and administer firm’s heightened supervision policies and procedures for individuals requiring such supervision

Greater New York City Area

• Managed all compliance functions for two divisions of the firm, proprietary trading and customer trading divisions. Members of FINRA, PHLX, CBSX. • Developed, Implemented automated systems, and performed compliance reviews of all firm activities in accordance with firm written supervisory procedures. • Analyzed, and reviewed all computer trading systems of the firm for compliance with all regulatory requirements. • Reviewed and approved all marketing and advertising materials, both incoming and outgoing, for all regulatory requirements. • Analyze, review, and implement all Written Supervisory Procedures manuals, Business Continuity Plans, Anti-Money Laundering policies and procedures, and employee manuals.• Developed, implemented, and administered firm CE and annual compliance conference requirements• Completed examinations from SEC, FINRA, and CBSX with positive results.• Monitored firm activity for compliance with all regulatory requirements. Trading volume averages over 100 million shares daily.

Greater New York City Area

• Preparation and presentation of client New Member Application to NASD District offices.• Advise clients on daily, weekly, monthly, quarterly, semi-annual, and annual filing requirements of regulatory authorities• Support clients on state and regulatory requests for information• Liaison with regulatory authorities in all examination requests• Review and update clients Written Supervisory Procedures manuals to current standards and requirements• Design and develop automated and manual client review and education procedures to comply with regulatory requirements for Patriot Act and Anti-Money Laundering policies.• Develop, implement, and administer firm CE and annual compliance conference requirements• Acting CROP, SROP, and ROP for a client with immediate needs.

• Manage all compliance functions for three divisions of firm, AMEX Market Making, NASD Broker Dealer and Investment Advisory Services specializing in ETF instruments.• Supervised staff of Compliance professionals to ensure firm’s diligence with all regulatory requirements.• Review employee trading activity and outside accounts. Review all activities of Registered Investment Advisers of Firm.• Approve new accounts and perform monthly reviews of all trading accounts. • Review and approve all marketing and advertising materials, both incoming and outgoing including e-mail, for all regulatory requirements.• Monitor firm’s trading activity in compliance with all NASD and AMEX requirements. Maintain Form ADV Part I and II. • Developed, implemented, and administered firm CE and annual compliance conference requirements.• Liaison to small broker dealer advisory group interfacing with NASD committees, news media.• Liaison to NASD District committee members on issues pertaining to small and medium firms.

Greater New York City Area

• Responded to requests and examinations by NASD, SEC, and State regulators resulting in no reportable violations.• Reviewed employee trading activity and outside accounts. Review all activities of Hedge Fund of Firm.• Approved new accounts and perform monthly reviews of all trading accounts and Hedge Fund. • Reviewed and approve all marketing and advertising materials, both incoming and outgoing including e-mail, for all regulatory requirements.• Monitored firm’s trading activity in compliance with all NASD and MSRB requirements for Corporate, Municipal, and Government Fixed Income products. Monitor Hedge Fund for same• Developed, implemented, and administered firm CE and annual compliance conference requirements.• Liaised to small broker dealer advisory group interfacing with NASD committees, news media.

Greater New York City Area

• Analyzed, developed and implemented surveillance monitoring procedures of company expansion from 40 traders trading in one office to more than 230 traders trading in one home office and twelve regional offices. • Acted as supervising principal for proprietary and retail trading operations. Average trading volume, 250 million shares daily.• Developed, implemented, conducted and reviewed branch audits. • Responded to requests and examinations by NASD, SEC, and State regulators resulting in no reportable violations.• Reviewed employee trading activity and outside accounts. • Approved new accounts and performed monthly review of all trading accounts. • Designed, developed, tested, implemented and maintained an automated compliance analysis system which increased efficiency by 50%.• Project Manager and IT liaison to operations and compliance departments.• Supervised five compliance personnel.• Reviewed and approved all marketing and advertising materials, both incoming and outgoing including e-mail, for all regulatory requirements.• Monitored firm’s trading activity in compliance with the Investment Advisors Act of 1940.

Wayne, New Jersey

• Managed all NASDAQ trading operations including interfacing with customers, traders, Market makers, and clearing firm personnel. • Developed and performed compliance reviews of all firm activities in accordance with firm written supervisory procedures. • Analyzed, installed, maintained, and reviewed all computer systems of the firm. • Reviewed and approved all marketing and advertising materials, both incoming and outgoing, for all regulatory requirements. • Supervised the trading floor and operations staff of eight.• Developed, implemented, and administered firm CE and annual compliance conference requirements.