Senior Compliance Analyst - Trade Surveillance
Current
Nov 2024 - Present
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Dan Hopper Email & Phone Number
Senior Compliance Analyst - Trade Surveillance
at
TradeStation
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✓ Verified July 2026
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Profile completeness 86%
Current company
Role
Senior Compliance Analyst - Trade Surveillance
Location
Ponte Vedra Beach, Florida, United States
Who is Dan Hopper? Overview
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Dan Hopper is listed as Senior Compliance Analyst - Trade Surveillance at TradeStation, based in Ponte Vedra Beach, Florida, United States. AeroLeads shows a matched LinkedIn profile for Dan Hopper.
Dan Hopper previously worked as Associate Equities Compliance & Trade Surveillance at Deutsche Bank and Equity Program Trade Desk Assistant at Deutsche Bank. Dan Hopper holds Bachelor Of Science, Economics from Penn State University.
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Profile bio
About Dan Hopper
Financial Services Professional with over 15 years of experience for leading global financial companies. Expertise in Compliance Trade & Wealth Management Surveillance, eComm Surveillance, Trade Desk Support, & Global Equity Trading Operations.
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7 roles
Dan Hopper work experience
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Associate Equities Compliance & Trade Surveillance
Sep 2018 - Nov 2024
Equity Program Trade Desk Assistant
Aug 2016 - Sep 2018
Associate Trade Operations Manager
Team lead and primary support contact for the DBSI Equity Program Trading Desk, Client Inquiries and all relevant onshore & offshore settlement support teamsResponsible for all post execution trade capture, client and intercompany trade confirmation, booking, affirmation and settlement of US, LATAM, APAC, MENA & European Markets trades.Monitor firm risk daily by diligently accounting for international and domestic average price account break reconciliation. Escalate all true position and price breaks to front office trading desk for prompt resolution.Responsible for the booking, reconciliation, and settlement of all FX transactions executed on behalf of our global program trading clients. Supported the DB ETF Desk’s international & domestic creation and redemption activity for clients by working in tandem with our collateral, cash wire and inventory management teams.Lead operations contact for the global booking system migration (GEMS->AST), a two year initiative that has upgraded the legacy regional booking structure to a standard global format compliant with U.S Regulatory reporting.Streamlined the pre-execution market ID reporting process for our global front office program traders via utilization of new AST booking system
Jul 2014 - Aug 2016
Associate Client Commission Agreement
Manage the US Client Commission Agreement program on the Cogent CSA Trak PortalReconcile exceptions daily and confirm monthly totals with our 12 CCA partners to ensure that our soft dollar balances are in agreement for use of payment to our Third Party Research Providers.
Jan 2010 - Jul 2014
Associate Equity Trade Support
Primary support contact for the JPMorgan U.S Equity Traders, Portfolio Managers, Investment Assistants, Fund Accountants, Compliance, Client Service, Broker Dealers and Custodian BanksProvide all post trade execution support, trade confirmation and oversee settlement of all USD, CAD & LATAM equity trades on a daily basis.Lead support contact for all NY FX & NY NDF trading executed from our London Office.Responsible for all trade, reconciliation, account & ad hoc related inquiries.Compile monthly equity operations data and report to senior management during monthly OMR call.Fluent in use of EAGLE Accounting, Longview Trading System, OMGEO ALERT & ILITE Portals, MAGIC, Ops Party, Oasys Direct, CTM, Excel, Axiom Trade Manager, Fidessa U.S, ADP, DTC & eSpear
Jan 2010 - Jul 2014
Brokerage Assistant Intern Citi Smith Barney
Collaborated with the Financial Advisors on the investment process.Rotated through Financial Advisors specializing in equity & debt allocation, mortgage traded securities, and alternative investments.Assisted the Branch Manager in daily tasks and responsibilities pertaining to a retail brokerage firm.Received training to use Bloomberg terminal.
May 2007 - Aug 2007
1 education record
Dan Hopper education
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Penn State University
FAQ
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What company does Dan Hopper work for?
Dan Hopper works for TradeStation.
What is Dan Hopper's role at TradeStation?
Dan Hopper is listed as Senior Compliance Analyst - Trade Surveillance at TradeStation.
Where is Dan Hopper based?
Dan Hopper is based in Ponte Vedra Beach, Florida, United States while working with TradeStation.
What companies has Dan Hopper worked for?
Dan Hopper has worked for Tradestation, Deutsche Bank, Jpmorgan Chase & Co., and Citi.
How can I contact Dan Hopper?
You can use AeroLeads to view verified contact signals for Dan Hopper at TradeStation, including work email, phone, and LinkedIn data when available.
What schools did Dan Hopper attend?
Dan Hopper holds Bachelor Of Science, Economics from Penn State University.
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