Daniel S. Dankin, M.B.A. Email & Phone Number

New York, Ny, Us

Lead or participate in, and provide guidance and advice with regard to risk-based examinations. Proactively identify risks and make recommendations regarding industry practices, products and procedures.

Coordinated market conduct cycle and for cause examinations, sweeps, and questionnaires conducted by SEC, FINRA, CFTC, CME, NFA, DTCC, and State Securities Regulators. Provided regulatory risk management and guidance to wealth management, institutional securities, and investment management businesses, and other areas of the Firm, including Legal, Compliance, Risk, Operations, and Finance. Identified potential regulatory issues during the examination and worked with regulators to resolve such… Show more Coordinated market conduct cycle and for cause examinations, sweeps, and questionnaires conducted by SEC, FINRA, CFTC, CME, NFA, DTCC, and State Securities Regulators. Provided regulatory risk management and guidance to wealth management, institutional securities, and investment management businesses, and other areas of the Firm, including Legal, Compliance, Risk, Operations, and Finance. Identified potential regulatory issues during the examination and worked with regulators to resolve such issues. Managed the identification, gathering, production and tracking of documents to regulators. Negotiated and clarified the scope of regulator requests for documents and information. Prepared Firm personnel for regulatory meetings; provided advice on regulatory expectations and reviewed meeting materials. Drafted and/or coordinated written responses to examination reports with stakeholders pertaining to deficiencies. Assisted with identifying internal issue owners and tracking of corrective action plans post examination. Show less

Greater New York City Area

Managed a staff that examined American Stock Exchange member firms’ supervisory programs, including written supervisory procedures, continuing education programs, and Anti-Money Laundering programs. Analyzed the adequacy of member firms’ regulatory procedures with respect to their direct access business. Assisted with the design of the surveillance guidelines utilized by the analysts.

Greater New York City Area

Managed a staff of managers and analysts to ensure that the Exchange’s Specialists, Member Firms, and Floor Brokers execute option, equity, and ETF orders within the best execution guidelines set forth by the federal securities laws and the Exchange’s rules. Responded to inquiries from Specialist Unit Heads and Compliance Officers regarding order handling rules. Provided the Enforcement Department with the documentation used for the prosecution of Specialists or Member Firms who violated the… Show more Managed a staff of managers and analysts to ensure that the Exchange’s Specialists, Member Firms, and Floor Brokers execute option, equity, and ETF orders within the best execution guidelines set forth by the federal securities laws and the Exchange’s rules. Responded to inquiries from Specialist Unit Heads and Compliance Officers regarding order handling rules. Provided the Enforcement Department with the documentation used for the prosecution of Specialists or Member Firms who violated the Exchange’s order handling rules. Show less

Greater New York City Area

Managed and trained investigators to review option related customer complaints and terminations of registered representatives for cause. Analyzed option related customer complaints to determine if an investigation by the Exchange was warranted. Conducted on-the-record depositions of public customers, registered representatives, branch office managers, and member firms’ management. Performed on-site examinations of AMEX member firms to ensure compliance with Exchange rules.

Greater New York City Area

Investigated sales practice and operational client complaints. Negotiated settlements with clients or their attorneys and responded to self-regulatory organization inquiries.

Greater New York City Area

Liaison between retail brokers and operations department. Recruited and supervised cold callers to support top brokers. Ensured compliance of industry regulations and state registration requirements. Assured complete and accurate transfer of customer accounts to the firm.

Master Of Business Administration - Mba, Finance, General

Bachelor Of Science - Bs, Economics