James Shipp Email and Phone Number

Regulatory Professionals experienced in application preparation, exam preparation, trade reporting, trade surveillance, AML and Risk reporting.: Continuing Member Application preparation, submission and approval pertaining but not limited to Self-Clearing approval, Underwriting, Seller of real estate securities, Mutual fund underwriter, Municipal securities underwriter, U.S. Government securities dealer, Municipal securities broker or dealer, Private placements, Private offerings, Investment advisory services, Broker or Dealer that offers or engages in online/electronic trading, Broker or Dealer selling securities futures products, Securities clearance and settlement, Prime brokerage services, Securities lending, Repurchase and reverse repo's, Mergers and acquisitions.: Identify key regulatory technology needs by addressing specific client needs pertaining to Trade reporting, AML and Risk and develop cost effective solutions. by identifying the following.: Regulatory Impact: Financial Impact: Competitive Edge: ScalabilityServices and Products Offered:Application Processing:* New Member Application Processing* Continuing Member Application Processing* DTCC Member Application Processing* NSCC Member Application Processing* OCC Member Application Processing* Settlement Bank Application ProcessingTrade Reporting and Surveillance:* AML Reporting Process Development* Blue Sheet Reporting Process Development* Cyber Security Process Development* Fee Reporting Process Development* Insite Reporting Process Development* Large Option Reporting Process Development* MSRB Reporting Process Development* OATS Reporting Process Development* RegSho Reporting Process Development* Risk Reporting Process Development* Short Interest Reporting Process DevelopmentOther Services:* Take Private Companies Public* Vendor Selection AnalysisRecent Clients:Cantor FitzgeraldPershingNordea BankRothschild Lieberman ITGSafra BankJust2TradeEdelta

Responsible for Business Development of all Regulatory and Industry related technology initiatives thus generating significant revenue to the companies bottom line. Hosted monthly user meetings consisting of clients from the Banking and Broker Dealer communities. Addressed all regulatory related issues.Clients Serviced (Relationships):ABN Amro ClearingAlbert Fried & Co.Baker Group LLPBanca ImiBBVABMO Capital Markets CorpCanaccord Adams (Canaccord Genuity)Cantor FitzgeraldCarty & Co.Castleoak SecuritiesCitibankCLSA Americas LLCCompass Bank (BBVA)Credit AgricoleCrews & AssociatesCrowell Weedon (D.A. Davidson)CX Capital MarketsDaiwa USAFirst AlbanyFirst Tennessee Securities CorpGtradeICAP Corporates LLCITGJ.P. Morgan LiquidnetLime BrokerageMan SecuritiesMizuho SecuritiesMF GlobalNewedge SecuritiesOptionsxpress (Charles Schwab)Popular SecuritiesPenson Financial ServicesRCAP SecuritiesRefco SecuritiesSafra BankSeattle Northwest SecuritiesStockcross Financial ServicesTradeStationTradition SecuritiesUSAAU.S. BankVining SparksVision FinancialWachovia Bank (Wells Fargo)Wedbush SecuritiesWells Fargo BankWilson-Davis Company

International Clearance and Settlement system enhancements. Business Development. Relationship Management.

Supervised BSAAML/KYC internal processes. Responded to all incoming regulatory subpoenas and inquiries. Addressed all trade related issues. Developed and provided training courses for employees series examinations.