Brian Bartsch Email & Phone Number

United States

New York, New York

Daily Trade Surveillance

New York, New York

Reviewed and organized Firms supervisory procedures including Business Continuity and Anti-Money Laundering policies.

Greater New York City Area

Observed and supervised all daily trading activity by specialists on New York Stock Exchange and NewYork American Listed equities for irregularities.Worked continuously to develop and implement new procedures, supervision, technology, and trading guidelines in response to new SEC, NASD, and various Exchanges rules and regulations.Developed real time compliance based software to assist in the supervision and surveillance of on floor staff to ensure full legal and regulatory compliance.Developed and maintained relationships and interaction with on floor NYSE market surveillance and NASD regulation in response to real time compliance issues. Liaison with various regulatory bodies and the Firm for responses with inquiries and coordination of annual supervisory exams.Development and implementation of Written Supervisory Procedures for the firms, Cyber Security, Anti Money Laundering, Business Continuity Plan, Market Making Trading for NYSE, NYSE American, Chicago Board of Options Exchanges.Liaison between the Firm various regulatory bodies for daily business issues, inquiries, and coordinating yearly supervisory exams.NYSE committees for Floor Member Continuing Education and NYSE series 14a Compliance Officer test

Maintaining a fair and orderly market in compliance with all AMEX, NYSE, NYSE ARCA and S.E.C. rules.Monitoring stock, financial, and world newsReporting pertinent daily activity to floor brokers, exchange personnel and listed companies.Producing and presenting reports for firm corporate liaisons detailing trading activity with listed Companies.Business development, main contact for Firms 106 Department, developing reports, presentation materials, and road show presentations.Firm liaison with FINRA, NYSE Floor Regulation, and other financial regulatory bodies for day to day activities, inquiries, and examinations.Maintenance, establishing and reviewing various trading monitoring/ supervision reports, Written Supervisory Procedures.Anti-money Laundering OfficerFirm liaison with clearing firm

Helping to build, guide and maintain a small and growing startup company.Building alliances with non-profit groups, governmental agencies, and corporations.Cold Calls, Site visits, Customer relations, Photo Documentation, and Customer Communications.Building spread sheets with Microsoft Excel for Sales & Marketing.Maintaining integrity of product and repairs.Implementing Act software by Sage for company organization. 2005-Feb. 2010

Maintaining a fair and orderly market in compliance with all AMEX, NYSE, NYSE ARCA and S.E.C. rules.Monitoring stock, financial, and world newsReporting pertinent daily activity to floor brokers, exchange personnel and listed companies.Producing and presenting reports for firm corporate liaisons detailing trading activity with listed Companies.Media Representative (have provided market insight and recap to the Wall Street Journal, Bloomberg TV, CNBC, and Fox Business )Monitoring junior traders' activities.Primarily focusing on Closed-end Funds and Structured Products (ETN's)Proprietary Trading for FirmHelped Establish an equity trading desk; organized strategy, goals and guidelines.Analyzed a variety of trading platforms and information services.Worked with various departments to achieve an operable and efficient system.

Maintaining a fair and orderly market in compliance with all AMEX, NYSE, NYSE ARCA and S.E.C. rules.Monitoring stock, financial, and world newsReporting pertinent daily activity to floor brokers, exchange personnel and listed companies.Producing and presenting reports for firm corporate liaisons detailing trading activity with listed Companies.Media Representative (have provided market insight and recap to the Wall Street Journal, Bloomberg TV, CNBC, and Fox Business )Monitoring junior traders' activities.Primarily focusing on Closed-end Funds and Structured Products (ETN's)Proprietary Trading for the firm. 2005LABRANCHE STRUCTURED PRODUCTSEstablished equity trading desk; organized strategy, goals and guidelines.Analyzed a variety of trading platforms and information services.Worked with various departments to achieve an operable and efficient system.

Helped Specialist Broker identify profitable trading opportunities and manage risk with a variety of S & P, Dow, and foreign stocks. Represented the firm and the N.Y.S.E. during mock trading sessions.Managed pilot stocks, analyzing prospective N.Y.S.E. computer trading products.

Education record

Education record

Activities and Societies: study abroad