Christian Schafer Email & Phone Number

Rockville, Md, Us

Rockville, Md

• Built FINRA’s first U.S. Treasuries Manipulation Investigations Team, a highly visible program that has worked through tremendous challenges and delivered impactful work to FINRA’s market manipulation surveillance and investigations program• Provides devoted leadership to team focused on synthesizing, identifying, and presenting data concerning potentially manipulative trading behavior, resulting in a large and complex docket of investigations • Collaborates with technology… Show more • Built FINRA’s first U.S. Treasuries Manipulation Investigations Team, a highly visible program that has worked through tremendous challenges and delivered impactful work to FINRA’s market manipulation surveillance and investigations program• Provides devoted leadership to team focused on synthesizing, identifying, and presenting data concerning potentially manipulative trading behavior, resulting in a large and complex docket of investigations • Collaborates with technology analysts and data scientists to design and implement surveillance patterns leveraging visualizations and other graphical solutions, machine learning, deep learning, and dynamic models• Champions improvements to program through meticulous analysis, which drives performance analytics and reporting, strategic initiatives, and corporate strategy• Regularly prepares briefings and presentations for meetings with senior management, constituents, and external stakeholders• Builds new and critical working relationships, both internal and external, that have been paramount to the success of the program• Achieved FINRA’s first settlement with trader for spoofing in U.S. Treasuries in September 2021• Uncovered cross-product spoofing scheme between U.S Treasury cash securities and futures that required extensive analysis of market data from numerous sources • Consistently earns top ratings in performance review cycles for job performance and demonstration of company values• Designed and advocated for first interactive exhibits used by the Department in an on-the-record testimony• Led project on cross-product analytics and visualization that placed 2nd in FINRA’s 2019 Createathon• Selected to participate as a mentee in FINRA’s Inspired to Lead Cohort for 2023• Pioneered team’s use of Big Data Structured Query Language (BDSQL) and Dataiku, critical advancements that provided significant improvements in analytics Show less

Rockville, Md

• Conducted reviews and investigations of possible violations of FINRA rules relating to fixed income markets and/or federal securities laws• Gained extensive knowledge of various fixed income products such as Corporate Debt Securities, Agency Debentures, Equity Linked Notes (ELN), Collateralized Mortgage Obligations (CMO), Asset Backed Securities (ABS), Mortgage Pass-Through Securities (TBA & MBS), and Municipal Bonds • Analyzed trading activity and presented findings in… Show more • Conducted reviews and investigations of possible violations of FINRA rules relating to fixed income markets and/or federal securities laws• Gained extensive knowledge of various fixed income products such as Corporate Debt Securities, Agency Debentures, Equity Linked Notes (ELN), Collateralized Mortgage Obligations (CMO), Asset Backed Securities (ABS), Mortgage Pass-Through Securities (TBA & MBS), and Municipal Bonds • Analyzed trading activity and presented findings in comprehensive and quantitative report to management• Taught Excel courses on managing big data to over 80 Market Regulation staff Show less

• Delivered exemplary customer service while aiding professionals in meeting licensing and compliance requirements for the financial services industry• Communicated requirements and responsibilities between state and federal regulators, to licensees• Directed clients on navigation and data entry of the NMLS (Nationwide Licensing System) database• Consistently ranked among top of peer group for exceptional performance