Gary Tucker Email & Phone Number

Austin, Tx, Us

Austin, Texas Metropolitan Area

Austin, Texas Area

Manage a district of 23 credit unions (CU) serving as the direct regulator assessing interest rate, transaction risk, and liquidity risk for CU investments including large, complex investment portfolios. Lead teams of 3-10 examiners for the district in ongoing monitoring/exams and participate on other teams as a SME. Led collaborative changes that reduced risk and developed long term sustainability.

San Antonio, Texas Area

Founded and ran an investment advisory and business consulting firm. Built and maintained portfolios for clients according to specific investment objectives and risk profiles. Advised small business clients, with individual financial advice as well as small business consulting including capital allocation decisions, corporate structure, risk analysis, and working capital management. Guided clients on cash flow, allocation of equity, expense tracking, and estate planning.

Chicago, Illinois, United States

Turned around the compliance audit function and reduced regulatory exposure due to audit issues. Led project teams and coached individuals in the on-site exams of in depth annual financial regulatory compliance audits at brokerage sales complexes across the US. The teams were 3-5 examiners for sales complexes with assets under management of $2-5B. Analyzed financial transactions on various complex financial instruments using qualitative and quantitative methods to determine compliance with legal, regulatory, and firm policies and procedures.

Bethesda, Maryland, United States

Served as Compliance Officer for an independent model broker/dealer with +500 registered representatives during a period of rapid growth. Held primary responsibility for registered investment advisor compliance. Conducted suitability surveillance on trades, ongoing review of 3rd party platforms and outgoing correspondence. Handled the mutual fund breakpoint analysis review and annual compliance audits. Monitored exception reports and took corrective actions. Maintained internal reports for trend analysis. Investigated suspected illegal activity such as conversion of funds and Ponzi schemes.

Chicago, Illinois, United States

Primary contact for 15 institutional clients including hedge funds, market makers, and proprietary trading firms. Individual clients had assets up to $7B and strategies included foreign exchange carry trades, index arbitrage, convertible arbitrage, and structural arbitrage. Regularly briefed clients at all levels on industry developments particularly market activity with potential adverse effects. Helped obtain net new assets of $100M in one year.

Chicago, Illinois, United States

Served 30,000 clients in 10 states. Audited options accounts and trades. Generated business from 20 high net worth clients, including cash management, transactional business, and restricted stock clearance.

Chicago, Illinois, United States

Managed $5M in annual. revenue. Led a trade desk of 25 traders. Reviewed and analyzed internal reports. Required in depth knowledge of financial products, regulatory compliance and budget management.

Ba, History, Political Science

Activities and Societies: KCOU

Mba, Finance, Accounting, Economics

Activities and Societies: weIMG, the Professional Finance Club, the Chicago Booth Banking Club and the Admissions Committee Participant.