Christopher Sharrett Email & Phone Number

Liverpool Street, England, Gb

Liquidnet, Inc.- Advise Liquidnet Equities Alternative Trading System (ATS) business on compliance and regulatory matters involving electronic trading, regulatory reporting (CAT), client onboarding, high-touch orders, restricted / prospectus sales, and access management. - Prepare and submit periodic and ad hoc regulatory filings, including Form BD, Form ATS-N, Form ATS-R, Rule 605 reports, and new product offerings. - Execute and maintain compliance programs for Employee Trading, Outside Business Activities (OBAs), Private Securities Transactions, Annual Compliance Training, and Registration. - Author and maintain Written Supervisory Procedures (WSPs), the Firm Compliance Manual, and other Compliance policies & procedures.- Respond to inquiries and requests from regulators (SEC) and regulatory organizations (FINRA).

New York, Ny, Us

- Developed and managed client relationships by effectively communicating with relevant stakeholders to ensure requirements were identified, issues were raised and addressed, timelines were met, and expectations were exceeded. - Led and mentored team of six advisory professionals to ensure the delivery of accurate, timely, and excellent work product to clients.- Tailored staffing needs to client requirements in order to achieve optimal resourcing while maintaining work-life balance for staff.

New York, New York, Us

- Develop and execute testing & surveillance program across Equities, Fixed Income, and Investment Banking divisions through collaboration with Supervision, Management, and Line Compliance.- Manage physical and electronic information barriers across Outlook, Bloomberg, Skype, and other venues; work closely with Business, IT, Control Room, and conducts testing to ensure integrity of barriers.- Perform ad hoc email investigations for CCO, Management, Supervision, and Line Compliance; extensive working experience with Compliance Accelerator and Bloomberg Vault.- Author annual 15c3-5 market access report for Equities and Fixed Income trading platforms; coordinates market access testing plan across Operations, Supervision, and Line Compliance.- Review all gift requests to / from clients to ensure compliance with FINRA annual limits; perform periodic review of travel & entertainment.

New York, New York, Us

- Reviewed and summarized Security Agreements, Bond Indentures, and other related investment vehicle documents to assess risk and quality of structure- Wrote analytical reports assessing strength of Covenants compared against various clauses- Constructed and audited spreadsheets for data cataloging - Performed Data Analysis and catalogued relevant data points for accounting purposes

- Provided direction and training to junior intelligence analysts- Applied and integrated four years' experience into intelligence training program: enhanced relevance and effectiveness of training materials- Trained Intelligence students as a Senior Trainer - Evaluated and provided feedback to students, logged and accounted for training compliance

- Analyzed, segregated, evaluated, researched, interpreted, compiled, and disseminated intelligence information. - Analyzed intelligence to support operations and targeting. - Wrote analytical reports based on findings of initial intelligence assessments, and built and presented briefings to senior leadership.- Identified and escalated critical intelligence to senior leadership.- Wrote and filed Mission Reports summarizing mission outcomes and identifying unusual patterns.- Identified necessary intelligence requirements and constructed data collection requirements for each mission.- Developed mission planning requirements for fighter pilots, wrote and disseminated Mission Reports based on collected data. - Conducted research over national Intelligence Community resources and databases.- Liaised with subject matter experts at numerous national intelligence agencies, including CIA and NSA.- Performed comparative quality analysis of over 300 intelligence reference products in library to ensure contemporary relevant data. - Contributed as a member of working group which drafted and revised nation-wide standards for fighter aircraft intelligence community.- Created cohesive, relatable report derived from specifics of intelligence analytics for dissemination to a wider intelligence audience. - Provided intelligence, logistical support, and classified personnel records management, for the movement of 300+ personnel, 16 aircraft, and over $4.8 billion worth of assets on four unit deployments; ensured successful departure, and sustained operations.

- Guided the construction of intelligence products, and identified research / dissemination methods and resources.- Monitored international affairs and developed classified intelligence products to apprise senior leadership of developing situations across global conflict areas.- Created and presented highly sensitive intelligence briefings to senior leadership; informed senior leadership of threats to factor into key decision making for personnel movements / deployments.- Collaborated and liaised with subject-matter-experts at a multitude of National Level intelligence agencies, including CIA and NSA.

- Analyzed and audited legacy materials in classified digital library for relevance, redundancy, and quality.- Prepared and presented classified current affairs briefings for senior leadership and technical training briefings for squadron personnel.

Master Of Studies In Law, Corporate Compliance

Bachelor’S Degree, Economics