David W. Miller Email & Phone Number

New York, Ny, Us

Armstrong Wolfe is a global advisory firm which brings together the financial services COO community to address market wide, non-proprietary challenges. - Supporting the International COO Community’s (iCOOC) working group activities - Industry panellist on cross industry global symposiums - Provision of insights and content for periodicals, industry papers and iCOOC reports

@GSR Markets - Leading crypto market maker and ecosystem partner.

New York, United States

Head of First Line of Defense (1LOD) Controls for ASD global. ASD is composed of Custody, Fund Services, Digital Assets, Data and Analytics, “Front-to-Back Solutions”, Client Coverage and Sales. Stood-up / restructuring and managing the global ASD 1LOD Controls function across multiple entities, locations / jurisdictions. 1LOD Controls Activities include: executing end-to-end operational, regulatory and supervisory controls; providing real time and strategic counsel and challenge to business leaders; ownership enhancement across all stakeholders / stakeholder management; global regulatory engagement; executing diversified governance including multi-level issue escalation; risk assessment, gap identification, incident root cause analysis, thematic review; culture and conduct management; scenario analysis and risk appetite management; action tracking for audit, regulatory, self-identified issues and remediation thereof; regulatory “horizon scanning” and change implementation; process reengineering; policies and procedures

New York, Ny

Head of 1LOD Controls for the global Equities cash, derivatives, electronic trading and prime businesses. Reorganized, enhanced, and managed the global team’s 1LOD Controls Activities (see above BNY description) across multiple entities and jurisdictions

New York, Ny

Served as principal officer for Corporate and Investment Bank ("CIB"​) sponsored start-up registered investment adviser and commodity pool operator offering systematic index strategies in 3(c)(7) private fund format. Led strategy, operations, marketing, fund / transaction structuring, and governance. Managed start-up of program through the firm’s approval processes (legal, compliance, new business, reputation risk, control functions) and creation of operational, compliance and supervisory processes, and Volcker infrastructure.

New York, Ny

- Head of US Investment Bank Institutional Markets Compliance (2013 - 2014) Managed team of 80 compliance personnel covering institutional equities, futures and options, credit, rates, FX; investment banking / capital markets; information barriers; research; prime brokerage; correspondent clearing; electronic trading; bank custody and fund services. - Chief Compliance Officer - J.P. Morgan Securities LLC (2012 - 2013) Managed compliance governance for the main J.P. Morgan US broker-dealer and wealth management investment adviser including representation of compliance with broker-dealer “C-level” business managers. Directly managed team of 150 personnel responsible for bank brokerage compliance, information barriers, registrations, complaint handling, employee trading, institutional and retail transactional / electronic communications surveillance. Compliance Manager - Multi-Product / Discipline - US Investment Bank (2005 - 2012) Managed compliance teams of up to 40 personnel covering equities, equity capital markets, equity research, prime brokerage, correspondent clearing, information barriers, and investment banking. -Advised on regulatory issues across broker-dealer, bank and advisory entities-Established team organization and priorities-Oversaw normal course, new business, restructuring, crisis and regulatory response-Implemented compliance and supervisory infrastructure and processes-Implemented training, manuals, and procedures-Represented compliance in J.P. Morgan governance fora including broker-dealer board-Managed banking and securities reg relationships-Managed / participated in regulatory exams, inquiries, internal investigations, compliance tests, internal audits, risk assessments-Provided input on regulatory proposals-Managed outside counsel on new businesses, regulatory issues, response to regulatory developments and transaction structuring

Stamford, Ct

Counseled equity cash/derivatives sales and trading and equity capital markets.

New York, Ny

Counseled the futures/securities (fixed income) sales and trading, operations, HR, credit and compliance departments and management. Negotiated securities lending, prime brokerage, securities and futures customer, guarantee, confidentiality, loan, clearing, employment, technology, lease, intercompany, and FX agreements.

New York, Ny

Provided advice and managed legal and compliance matters in connection with the securities (fixed income/equities), FX, OTC derivatives and hedge fund (Forstmann-Leff) businesses of Refco Group. Managed the new accounts department and the transactional documentation process.

New York, Ny

Equity Sales and Trading Counsel / Operations Counsel / Compliance Audit.

New York, Ny

Greater New York City Area

Conducted and supervised financial/operations and fraud enforcement proceedings from investigation, presentation to the Commission through settlement or trial.

Doctor Of Law (Jd), Honors

Ba, History, History Honors

Activities and Societies: FIJI

High School Diploma