Lead team responsible for reviewing company applications for initial listing on Nasdaq and oversee initial and continued listing compliance program for Exchange Traded Products.

Lead team responsible for reviewing company applications for initial listing on Nasdaq and oversee initial and continued listing compliance program for Exchange Traded Products.

• Oversee initial and continued listing compliance program for Exchange Traded Products.• Develop and manage ETP listing procedures, policies and related regulatory system changes and updates.• Manage options listing compliance program for Nasdaq's six options exchanges.• Oversee initial listing process for secondary securities and follow-on offerings.• Oversee Unlisted Trading Privileges (UTP) regulatory data processing program.• Serve as primary internal and external point of contact regarding ETP regulation.• Review and analyze ETP listing applications.• Perform final review of analyst work product and serve as principal trainer for new analysts.

• Oversee initial listing process for Exchange Traded Products.• Oversee ETP continued compliance program.• Develop and manage ETP listing procedures, policies and related regulatory system changes and updates. • Serve as primary internal and external point of contact regarding ETP regulation.• Review and analyze ETP listing applications.• Perform final review of analyst work product and serve as principal trainer for new analysts.

Responsibilities:•Responsible for ETF and other structured product listing applications. -Determine product listing designations. -Perform quantitative review of indices and other underlying assets. -Provide clients with guidance and expertise related to product listings.•Conduct detailed financial and regulatory analysis of applications for initial listing on NASDAQ. -Review financial statements and corporate governance structures. -Determine compliance with applicable NASDAQ and SEC requirements. -Manage approximately 60 pending applications at a time.•Perform final review of analyst work product and serve as principal trainer for new analysts.•Communicate extensively with internal and external stakeholders.Projects and Accomplishments:•Earned five promotions between 2003 and 2017.•Led process to integrate Philadelphia Stock Exchange options listing review program.•Coordinate development and updating of initial listing procedures and policies.•Represent team on company-wide projects and presentations to internal and external clients.Core Competencies:•In-depth understanding of capital markets, structured product development and industry trends.•Established relationships with key issuer decision makers.•Comprehensive knowledge of financial statements and business valuation.•Outstanding written and oral communication skills.•Proven leadership and decision-making skills.

Leadership role on internal committee tasked with providing a platform for the collection, development and implementation of innovative ideas and serving as an internal resource for understanding technology or process developments at Nasdaq and in the industry.

Aided in of administration for global tax client accounts.Led effort to update procedures resulting in increased reporting and operational efficiencies.

Managed administration of new business development process for marketing/consulting firm.Assisted executive management with research for client venture feasibility studies.