Jay Markham Email & Phone Number

London, United Kingdom

 My duties include assisting with internal compliance matters such as co-writing policies, reviewing compliance frameworks, logs and registers.  Acting as second sight over various key public domain materials ensuring it meets the FCA standards as well as those of MSIM.  Participating in key decisions in relation to Principal/AR framework requirements and oversight matters.  Monitoring and contributing towards Market Risk and general governance considerations. Key part of the investment committee overseeing stock specific market exposure and risk.- I wrote a stock allocation model in Excel (and Python) based on the Sortino Ratio (as opposed to Sharpe) with portfolio optimisation.- Researched markets and stocks for recommendation to the committee - To aid in the above, I also wrote an algo to accurately show the current trend of a stock or index. Assisting with HR FIT assessments in accordance with Sections 60, 61 and 63 of FSMA  Acting as second sight of the ongoing monitoring processes for Principal/Appointed Representatives where no conflict of interest exists. Responsibilities include taking ownership of client and counterparty due diligence Other responsibilities include general oversight and reporting to the risk committee Responsibility for the firm’s performance of its obligations under the employee certification regime Responsibility for the firm’s obligations in relation to individual conduct rules for (a)training; and (b)reporting

London, United Kingdom

As an advisory stockbroker my duties were to advise retail clients mainly on, but not limited to, Main Market, Small Cap and AIM stocks. Stock picking for clients where they had shown an interest in a sector, ensuring that the fundamentals and technicals showed a high probability of success over the client’s time horizon. Also highlighting any stocks that had had a large move that day to clients who were holders but execution only. Executing trades with the market both verbally and using RSPs. Represent the company at meetings for IPOs and placings, then write a report for Compliance and to send out to Retail and Institutional clients, making them an insider where appropriate and ensuring that the insider register was up to date. To build relationships with, and reactivate old retail and institutional clients of the firm together with my own clients. Also, to ensure that annual client reviews were completed on time. Writing and presenting the morning meeting note. I also wrote a spreadsheet for the front office which calculated; the maximum number of shares that could be purchased given a cash amount that included stamp duty (where appropriate), PTM, commission and bargain charges. It also calculated the number of shares when transacting a switch, Bed & ISA pricing together with other calculations that needed a high degree of accuracy. Everyone thought this was extremely useful and used it every day.

Developing new and innovative indicators, expert advisors (trading robots), and scripts using MQL4, that clients and traders could drop straight on to their MetaTrader 4 platform.By thinking ‘outside the box'​, I have come up with many new techniques to aid traders in the decision process of executing a trade. These included an indicator which pointed the trader toward the strongest and weakest currencies on their chosen timeframe, so they could select the correct pair, and a robot which allowed the trader to use ‘One click' trading and then adopt the trade adding trailing stops. I developed a robot to allow a trader to use his existing trendlines as entry points for trades, and an indicator to monitor all pairs and show the largest movers or fallers by pip or percent on up to five different timeframes simultaneously to mention but a few.I was also a key member of a team and wrote the education manual for clients that covered a vast array of technical analysis and trading techniques.May 13 : Studied for CISI Level 4 Diploma - Jan 14 Home study

Advising and discretionary dealing for high net worth individuals and small corporates predominantly in stocks in the FTSE-350. The trading ideas I came up with (both Long and Short), were short-term and were based on a ‘volatility squeeze'​ found through a market filtering system I have written. Almost all the trades were done using ‘contracts for difference'​ through the L2 dealing platform at IG Markets.I also wrote some complex spreadsheets using Excel to monitor all my clients open positions live. They also enabled me to ‘drag and drop'​ the positions straight into L2 for ease and speed of execution. This significantly improved the firm's client exposure risk factor on an intra-day basis, and highlighted areas where action was needed immediately due to adverse market movements for clients.

Coming up with short-term and long-term trading ideas for the brokers, plus giving an opinion on any trading ideas they may come up with. I wrote a ‘Trading Strategy'​ called Snowball, which produces a list of Buy, Sell, Close signals from a high volatility portfolio. The signals were given 3 times a day which were email to the firm's clients. Each trade lasted around 5 days and performed well, even in tough markets. I also acted as Broker to my own clients, advising them mainly on FTSE-350 stocks.I recommended that the firm's clients taking long positions in the FTSE100 at the beginning of March 2009, missing the bottom of the market by just 2 days. Over the next 12 months the market rallied over 2,200 points (62%).

Built business from scratch with 2 other partners. Originally based solely on my client base, the company grew to deal not only with high net worth individuals but small institutions and hedge funds. My experience as a respected stockbroker, enabled me to develop the private client side of the business including CFD's. This was whilst managing the business and a team of brokers. I developed an innovative bespoke front-end administration system for the company using Access, covering everything from deal input and commission calculations, to management accounts and reports for the directors which saved the company a considerable amount.

Advising and discretionary dealing for high net worth individuals and small corporates. Working on a ‘commission only' basis, became one of the top five grossing commission earners in the London office. Whilst there, I personally placed approx. £2m of private equity that helped get ProQuote off the ground prior to them being bought by the LSE.