■ Responding to regulatory inquiries/audits and assisting with on-site examinations■ Implementing, monitoring, and reviewing electronic trading surveillance systems■ Undertaking special compliance related research projects and new Firm initiatives as assigned■ Drafting and updating Firm policies and procedures manuals ■ Providing timely and clear regulatory guidance to other departments■ Researching SEC, FINRA, and CFTC regulations and industry best practices■ Identify, prevent, and mitigate operational risks

■ Co-Lead the development of R&C data analytics, regulatory compliance surveillance monitoring, and visualization.■ Analyze large amounts of structured and unstructured data (Big Data) of a variety of types to uncover hidden patterns, known and unknown risks and potential control failures.■ Assist in response to regulatory inquiries, audits (internal/external) ,and on-site examinations

■ Review electronic trading surveillance systems and document findings.■ Request, gather, validate and integrate data from sources across business units and functions■ Present data to be leveraged for risk assessment, regulatory inquiry/exam response, and planning purposes.

Committee Member, Business Conduct CommitteesMiami International Securities Exchange, LLC (MIAX)MIAX PEARL, LLCMIAX Emerald, LLC

• Trade and manage a portfolio of currency and fixed-income positions, using multiple software platforms and proprietary strategies for the London shift of the 24 hour desk.• Act as liaison to and first point of contact for counterparties and clients, prime brokerages, risk management, software developers, and IT departments.• Maintain accounting reconciliation reports for both the firm and clients, and assist risk management with related compliance documents.• Manage a separate book of market-making agreement positions and algorithms in fixed-income products.• Trade fixed income and agricultural derivatives for a 24 hour trading team based strategy, and trade firm partners’ accounts with full discretion.• Generate and maintain a comprehensive analysis of performance for each strategy the 24 hour desk employs, on a monthly and quarterly basis, as well as develop new trading strategies based on this analysis.

• Traded equities on NYSE, NASDAQ, and AMEX exchanges using both intraday and micro-trading strategies.• Assessed and managed risk exposure opportunities.• Managed firm capital for commission based compensation. • Analyzed market and trade data to generate and report on trading strategies.• Completed extremely competitive, rigorous, and performance-based training program.