James Zogg Email & Phone Number

New York, Ny

Promoted to lead Trading Operations and Technology Support globally in New York, London, India and Hong Kong. Broadened scope of firm’s risk management profile as Nomura acquired and integrated Instinet, leaving the name for its US recognition. Took a holistic approach to rebuilding global trading operations by efficient functional organization and successfully partnering with the business. • Lead responsible for: (1) technology support (Production Trading Systems, Algorithmic Trading, Latency Sensitive Execution Trading, FIX Implementations, Post-Execution Technology), (2) client support (Broker Dealer Operations, Client On-boarding, Client Support Center) and (3) regulatory reporting teams and functions. Currently reporting directly to the CTO with regulatory reporting line into the President.• Developed a “follow the sun” model to ensure that each global region has appropriate pre and post market support for opens and closes with documented regional team handoffs and global team communication processes.• Championed a support tools initiative that resulted in an aggregated trading support tools dashboard, complete with systems analytics, centralized knowledge databases and global chat rooms.• Created a new change management process, inclusive of scheduled calendars, incident tracking procedures and approvals from all necessary business units. Currently act as lead approver for all domestic change management rolls and global emergency change orders. • Redefined and coalesced all business continuity plans, disaster recovery plans and crisis management procedures for a systematized global approach to managing change.• Lead partner representing business and operations’ points of view for all audit, compliance and regulatory matters.

New York, Ny

Created a new trading operations model for the firm by embedding the risk management department within all of the Americas trade operations. Improved relationship between business and operations by communicating information immediately and through visible personal dialogue. Successfully rebranded Trading Operations’ image.• Rebuilt the organizational structure for functional efficiencies. Streamlined model down to essential direct reporting lines, developed leadership and rebuilt daily reporting processes.• Collaborated with technology, trading, compliance and finance to develop risk management tools and procedures to appropriately support the Americas trading business and prevent market disruptive (i.e. human/algo/tech error) events.• Built a regulatory operations department to adhere to industry regulations (OATS, ACT, Best-Ex, Reg NMS, 605, 606, 15c3-5), respond to regulatory inquiries and react to proposed rules in the wake of the financial crisis.• Developed new unit specific for algorithmic trading support due to unique technology needs of the business strategy.

Drove the overall risk vision and strategy for the firm while implementing global technology and trading risk management policies. Established roadmap for internal and external global risk checks to bring firm into modern risk doctrine. • Developed and implemented client and market risk limits for all client trading activity, based upon previous trading history; Responsible for daily review and reporting of all risk events. • Partnered with technology to create systems to monitor and enforce proposed risk limits, an initiative driven by the President of the company.• Sold thought leadership around operational risk management procedures to help business understand risk as part of its culture.

New York, Ny

Hired after Silver Lake’s acquisition of Instinet for technology, operations, compliance and risk management experience and tasked with building industry best practices. Initial responsibility was to revamp areas that required immediate improvement in technology and trading operations. • Rebuilt regulatory reporting processes including OATS, ACT, Best-Ex, Reg 605 and 606, advancing firm compliance with current regulation.• Led the successful implementation of Reg NMS connecting to all protected destinations allowing Instinet to send ISOs, gaining a competitive advantage.• Reviewed and revamped exchange billing and client connectivity processes resulting in substantial cost savings. • Served as lead in increasing efficiencies between trading, operations, clearing, finance and technology.

New York, Ny

Tradescape was acquired by E*TRADE for their trading volume, technology and risk management approach and renamed E*TRADE Professional. Upon successful integration, responsibilities grew to include ownership of specialized retail trading operations processes. • Lead responsible for various operational aspects of the business integration, which was successfully completed in a 9 month period. Also continued role as head of Risk Management, Trading and Brokerage operations. • Key member of the E*TRADE Professional management team in place to provide continuous feedback to the parent company on the unique patterns and needs of the pro trading business. • Responsible for margin business integration during E*TRADE’s additional acquisitions of Harris Direct and Brown & Co. Successfully unified the margin policy between the three firms to both meet client satisfaction and appropriately govern business risk tolerance.

New York, Ny

The ninth person to join the firm, tasked with building Technology Operations, Risk Management and Broker Dealer Operations from scratch to support exponential growth during the dot.com era. • Supported business operations to grow trading volumes from 100k/day to 100M shares/ day in under three years’ time.• Partnered with all areas of the firm to build technology support tools and develop written supervisory procedures.• Provided the firm vision and strategy for risk management policies and tools. Built an organizational structure to develop the appropriate infrastructure and risk culture.

San Diego, Ca

Sold financial products and services to clients for the investment and retirement purposes. Shared knowledge of securities investment universe and market conditions combined with the client’s best interest to offer suitable recommendations. Consistent top performer in the western region. • Started practice by cold calling on municipal securities, which grew into equity, mutual fund, bond, UIT and options recommendations.• Built client book of business by developing relationships, networking and executing focused call campaigns. • Managed client assets and built laddered bond portfolios and annuitized UIT portfolios for clients’ individualized objectives.