Helen Mccarthy Email and Phone Number
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• In depth knowledge of FX products and services as well as Exchange Traded Derivatives.• Comprehensive grasp of current and future wholesale regulatory environment, especially MiFID 2, MiFIR, the FX Global Code, the EU Benchmark regulation, GDPR and their respective implementations.• Compliance lead for 'hard Brexit' contingency plans for the MTFs.• Comprehensive Market Surveillance experience latterly in the RFQ FX sphere but formerly in the ETD space.• Main FCA point of contact for both MTF platforms.• Experience of speaking at industry fora.• Comprehensive understanding of the SM&CR regime especially with regards to conduct and culture within a firm, and Industry Codes of Conduct.• Keep abreast of industry developments by attending seminars, talks, workshops and to gain insight of the broader thoughts of the 'Street'.• Work with the business - I am a compliance officer who wants to stop fines and prison sentences, not to stop businesses from growing!• When advising on regulatory matters during the implementation of revenue driving projects ensuring that judgement and proportionality is used according to the nature, scale and complexity of the offering.
State Street
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Vice President ComplianceState Street May 2019 - PresentBoston, Massachusetts, UsCompliance advisory to Currency Management, Global Treasury, Global Credit Finance including Leveraged Loans and Fund Finance and Funding and Collateral Transformation (FaCT)
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Vp Compliance Etd And Otc Derivatives And Wm ReutersState Street May 2013 - PresentBoston, Massachusetts, UsAdvising on the setting up of a futures execution desk offering DMA and a new OTC client clearing project. Main areas of concentration are on the onboarding documents (COBS and PRIN), sourcing and implementing a market monitoring and surveillance platform (MAR and MAD 2) in line with FOA and ESMA guidelines on market abuse and DMA. Also ensuring initial and ongoing compliance with the rules and regulations of the main European exchanges and clearing houses. By working closely with the Project Manager, a robust framework of reports and accountability has been built into the systems and processes in order to be compliant with regulatory scrutiny. I also look after our major FX platform Currenex and with FX now coming further ino the regulated world, we are looking at UTI's and LEI's for NDFs to allow our clients to comply with the February reporting deadline. And just in case that's not enough, I also look after WM Reuters and am looking at all the associated benchmark regulation this will attract.
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Chief Compliance Officer Fx Connect And Currenex Mtfs And Spot Fx Trading PlatformsState Street May 2013 - PresentBoston, Massachusetts, Us
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Chief Compliance Officer Fx Trading PlatformsState Street Fx Trading PlatformsReviewing all aspects of our FX trading platforms from a MAR and MiFID 2/R perspective including MTF analysis. Using the Global Preamble/code of conduct to ensure that best practice guidelines are followed to ensure alignment with regulatory expectations from a conduct perspective.
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Account Manager And Market Surveillance/ServicesNyse Liffe Aug 2007 - Feb 2013Account Manager (Sept 2009 - Feb 2013) for most of the big banks and brokers. Throrough working knowledge of:• Regulatory matters and their impact• Products• Clearing - ICE Clear migration• Rules and Trading proceduresMarket services/surveillance (Aug 2007 - Sept 2009)• Monitoring of all Exchange contracts and classes (Futures, Options, Equities, Fixed Income and Commodities) to ensure a smooth order flow within the Exchange’s relevant Rules and Trading Procedures. • Thorough working knowledge of Exchange’s Rules and Trading Procedures• Assist in adapting market services procedures in light of new trading platforms, new products and new tools• Investigating reports of suspicious trading behaviour with regard to the FSA’s Code of Conduct and 7 types of Market Abuse• Investigating issues identified as part of the surveillance work and drafting appropriate action points to present to business management to address the risk areas• Monitoring of order to trade ratios.
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DealerSantander Private Client Stockbroking Apr 2000 - Sep 2007• Monitored online trades in relation to the value of the customers’ portfolios ensuring dealing limits were not breached.• Ensure sure clients didn’t breach ‘market etiquette’ by repeatedly trading in the same stock.• To spot any certificated trades where there may be potential settlement issues• Project Managed Abbey’s investment club service from inception. • Gave frequent UK wide presentations on this subject.• Project managed the trading processes between Abbey’s wealth management banking arm and Abbey Stockbrokers.
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BrokerPit Trader At Liffe Sep 1987 - May 1998Worked for James Capel and Indosuez amongst others in the FTSE and BTP
Helen Mccarthy Skills
Helen Mccarthy Education Details
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Woodford County High School For Girls -
Woodford County High School For Girls
Frequently Asked Questions about Helen Mccarthy
What company does Helen Mccarthy work for?
Helen Mccarthy works for State Street
What is Helen Mccarthy's role at the current company?
Helen Mccarthy's current role is Compliance VP Treasury, Global Credit Finance and Currency Management State Street.
What is Helen Mccarthy's email address?
Helen Mccarthy's email address is hm****@****nyx.com
What is Helen Mccarthy's direct phone number?
Helen Mccarthy's direct phone number is +1 617 786*****
What schools did Helen Mccarthy attend?
Helen Mccarthy attended Woodford County High School For Girls, Woodford County High School For Girls.
What skills is Helen Mccarthy known for?
Helen Mccarthy has skills like Electronic Trading, Trading Systems, Derivatives, Cash Equities, Regulation, Regulations, Equities, Trading, Banking, Financial Markets, Otc, Customer Service.
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