Glen Stifelman Email and Phone Number
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COMPLIANCE EXECUTIVE with special expertise in FINRA rules and regulations.AREAS OF PROFICIENCY:• Risk & Compliance Management • All FINRA Rules & Regulations • FINRA Rules 3012, 3013, 2711• Regulatory Compliance• Financial Services Industry• Broker/Dealer Industry• ACT• Rule 410b • TRACE • SEC Audits• Branch Audits • E-Mail & Website Review• CROP, AML Principal & Supervisory Controls Principal• SRO Investigations • CRD Registration • CE & AML Programs• Advertising Compliance • Wash Sales Surveillance• Front-Running Surveillance• Odd Lot Transactions Surveillance • OATS Compliance• Options Surveillance • Trading Policies • Stock Exchange Inquiry Resolution • Account Acceptance Procedures • Trade Review Processes • Margin Issues • Disaster Recovery• 144 & 10-b-18 Trading• Davidge, Quotron, ADP, & Instinet Systems• Equities• Derivatives• NYSE • DOT (Designated Order Turnaround) • OTC • Bonds• Options• UITS • Mutual Funds • Employee Hiring, Training & Supervision• Continuing Education Instructor• Former Series 7 Instructor
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Chief Compliance OfficerMoomoo Crypto, Inc. Oct 2024 - Present
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Chief Compliance OfficerFutu Clearing Inc. Oct 2024 - PresentDallas, Texas, Us
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Chief Compliance OfficerMoomoo Sep 2022 - PresentPalo Alto, California, Us -
Chief Compliance OfficerT3 Trading Group, Llc Jan 2015 - Sep 2022New York, Ny, Us -
Chief Compliance OfficerT3 Trading Group, Llc Jan 2015 - Sep 2022New York, Ny, UsChief Compliance Officer of high volume trading retail broker/dealer.
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PresidentGrs Compliance Consulting Inc May 2008 - Sep 2022GRS Compliance Consulting, Inc, provides a wide variety of services to assists firms in their compliance requirements. Some of these services include:• Handle all functions of a chief compliance officer; consult on all compliance matters • Execute compliance and operations reviews for broker/dealers • Develop and draft written supervisory, compliance and operations procedures • Conduct annual compliance meetings and securities training • Review employee trading and email • Perform certifications for FINRA Rules 3012 – 3013 and 2711; and AML reviews • Write annual compliance reports • Provide expert testimony • Conduct branch and office audits • Provide CRD services including filing and renewals
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Chief Compliance Officer (Crop, Aml & Supervisory Controls Principal)Rockwell Global Capital, Llc. Apr 2009 - Dec 2014Pound Ridge, Ny, UsDIRECT AND IMPROVE ALL ASPECTS OF COMPLIANCE:• Oversee certifications for FINRA Rules 3012-3013 and 2711• Delivered one-item SEC Audit & FINRA audits • Handle SRO investigations • Efficiently completed CRD registration• Updated CE and AML programs• Upgrade surveillance• E-mail account examination • Website and advertising review -
Chief Compliance Officer (Crop, Aml Principal, Supervisory Controls Principal)Ekn Financial Services Jan 2008 - May 2008DIRECT ALL ASPECTS OF COMPLIANCE:• Conduct annual compliance meetings and continuing education • Perform certifications for FINRA Rules 3012-3013 and 2711• Oversee correspondence and advertising• E-mail review• Review website content• Improve trading surveillance• Execute branch audits and review personnel• Handle customer complaints and SRO investigations• In charge of registration with the CRD -
Chief Compliance Officer (Crop, Aml Principal, Supervisory Controls Principal)Evolution Financial Technologies May 2006 - Jan 2007• In charge of all aspects of compliance• Perform certifications for FINRA Rule 3012-3013• Perform all surveillance for wash sales, front-running, and odd lot transactions• Conduct annual compliance meetings and continuing education • Responsible for all correspondence and advertising• Execute branch audits and review personnel• Handle all customer complaints and SRO investigations• In charge of registration with CRD• Email and website content review• Ensure OATS compliance
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Regional DirectorResponse Companies Jan 2004 - May 2006• Conduct analysis and provide expert testimony• Perform compliance and operations reviews for Broker/Dealers• Perform all functions of a chief compliance officer• Develop and draft written supervisory procedures and compliance and operations procedures• Conduct annual compliance meetings and securities training • Review employee trading and email• Perform certifications for FINRA Rules 3012 - 3013
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Vice President - ComplianceBanc Of America Securities Dec 2003 - Nov 2004Charlotte, Nc, Us• In charge of all option surveillance, aggregation and approvals for busy equity derivative desk• Ran surveillance of front running, ACT, 410b and TRACE • Handled inquiries from all exchanges and SRO’s• Executed various projects that concerned compliance, trading and IT• Worked closely with IT to ensure programs meet compliance approval -
Senior AnalystLava Trading Oct 2002 - Dec 2003Us• In charge of all option surveillance, aggregation and approvals for busy equity derivative desk• Performed surveillance of front running, ACT, 410b and TRACE • Handled inquiries from all exchanges and SRO’s• Executed all projects that concerned compliance, trading and IT• Worked closely with IT to ensure programs meet compliance approval -
Vp - Head Of Operations And TradingInstinet.Com Jun 1999 - Mar 2001• Created operations from ground up• Started customer service department for Board of Directors• Hired and trained staff of 15 licensed principals • Heavy involvement in creating/writing operational procedures, business requirements and infrastructure including: compliance, trading policies, new account acceptance, review of trades, margin, trade disputes and disaster recovery• Helped open call centers including training of reps • Served as Chief Compliance Officer (CCO) until permanent officer was hired• Managed Clearing House/ADP relationships for the firm• Advised all other functional areas including marketing, website, business development, compliance, finance, wholesale, IT, and vendor management • Ran QA testing for web product • Member of Instinet’s acquisition team for its “Baseball” project (day trading firm/technology platform) • Registered Board of Director as SROP and principal• Taught Series 7 class to 25 internal employees • Member/co-developer of “ROMI” trading system – patent pending
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Vp - Head Of TradingCiticorp Securities Services Jan 1998 - Jun 1999• In charge of six experienced brokers. Involved in all types/aspects of trading including NYSE, DOT, OTC, Bonds (all types), Options, UIT's, and mutual funds • 144 and 10-b-18 trading • Extensive experience in ACT, Davidge, Quotron, ADP, and Instinet systems• Head of Best Execution Committee • Helped write and establish many new audit and compliance procedures
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PresidentGreen Line Usa Oct 1994 - Jan 1997• President / Principal of start-up discount brokerage division specializing in Canadian and U.S. securities. • Oversaw all aspects of the operations including: establishing all procedure manuals and computer systems, enrollment with the NASD; and creation of commission schedules and margin rates • Head of Compliance; handled SROP and CROP duties and all day-to-day operations. Passed NASD first year audit • Merged company with Waterhouse and marketed services to all Waterhouse clients. Division became first international discount trading facility in U.S.
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Vp - Branch ManagerQuick & Reilly Jan 1992 - Oct 1994Us• Managed office operations for medium-sized branch • Duties included: trading, risk analysis, regulatory and compliance issues, customer support, employee training, development and other personnel matters, expense control, statistical analysis/reports, sales and marketing -
NumerousCharels Schwab & Company Jun 1987 - Jan 1992Westlake, Texas, Us• Registered Account Executive III (New York, NY)• Supported and monitored 12 retail branches in the Northeast region• Functioned as "Acting Branch Manager" as needed • Took customer trade orders and processed trade data• Handled maintenance requirements, client reorganization notices, and debit recovery• Supervised cash control area including the training and development of 15+ employees responsible for bank reconciliations, issuance of operational checks, balancing branch deposits and withdrawals between various banks; and funding of the special reserve account
Glen Stifelman Skills
Glen Stifelman Education Details
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Suny OneontaBusiness / Economics
Frequently Asked Questions about Glen Stifelman
What company does Glen Stifelman work for?
Glen Stifelman works for Futu Clearing Inc.
What is Glen Stifelman's role at the current company?
Glen Stifelman's current role is Chief Compliance Officer at Moomoo Financial, Inc..
What is Glen Stifelman's email address?
Glen Stifelman's email address is sa****@****ine.net
What is Glen Stifelman's direct phone number?
Glen Stifelman's direct phone number is +151669*****
What schools did Glen Stifelman attend?
Glen Stifelman attended Suny Oneonta.
What skills is Glen Stifelman known for?
Glen Stifelman has skills like Equities, Securities, Series 7, Finra, Trading, Financial Services, Options, Fixed Income, Aml, Series 24, Series 63, Hiring.
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