Daniel Bardelli Email & Phone Number

Extensive experience in the areas of broker dealer and investment advisor compliance, operations, and trading.Functionality:- Managing the compliance department for global trading, institutional, inter dealer, retail stock brokerage and investment advisory firms.- Responding to FINRA, SEC, NFA and other SRO regulatory inquiries and coordinating regulatory audits.- Overseeing intra-day and post trade surveillance of equities, options, derivatives, corporate bonds, municipal bonds, futures, forex, swaps, NDFs and more. - FINRA Web CRD; including U4, U5 and Form BD and Form ADV. Also NFA 8R and 8T filings.- Review all firm CAT (formerly OATS), TRACE and MSRB filings for completeness, resolving and noting any issues.- Review new accounts and client on-boarding, including KYC, AML, OFAC, CIP and MIS review.- Supervise staff monitoring the review of firm, client and representative personal trading and positions.- Monitor client and firm accounts and transactions for BSA and AML compliance- Developed and implemented firm audit and testing procedures.- Review and maintain company books and records requirements.- Monitor employee email, instant messaging and all electronic communications. - Perform enhanced due diligence and monitoring of foreign entities and other high risk clients.- Project management, including forensic review of account order entry, trades and documentation.- File appropriate FinCEN SARs reports.- Ownership of Written Supervisory and AML Procedures.- Conducted Large Option Position Reporting (LOPR) and Large Trader Identification (LTID).- Experienced with Reg ATS and 15c3-5 market access controls.- Supervise registered sales representatives and audit branch offices.- Support compliance with FINRA 3110 supervision, 3120 supervisory controls and 3130 designations and reporting.- Oversaw testing and review process of firm compliance frameworks, including trade reporting, onboarding, and supervision. - Approve firm advertising, websites and marketing materials.- Lead meetings and ongoing employee training.- Liaison between firm clients and clearing firm.- Solid leadership and communication skills to establish rapport and communicate with all levels of management, staff and clients.

Listed skills include Options, Trading, Equities, Securities, and 29 others.