Joe Roche Email & Phone Number

New York, New York, United States

Greater New York City Area

– Direct compliance program for equity ‘agency only’ broker dealer, surveilling all trade and sales activities, including transaction report review, OATS transmissions, AML and KYC programs, BCP, WSP updates and reviews, annual compliance meetings, continuing education, personal account trading, cyber security and new client onboarding.– Partner with senior stakeholders and legal team to settle vendor filed arbitration and serve as member of the risk and capital reporting group for net… Show more – Direct compliance program for equity ‘agency only’ broker dealer, surveilling all trade and sales activities, including transaction report review, OATS transmissions, AML and KYC programs, BCP, WSP updates and reviews, annual compliance meetings, continuing education, personal account trading, cyber security and new client onboarding.– Partner with senior stakeholders and legal team to settle vendor filed arbitration and serve as member of the risk and capital reporting group for net capital and forecasting. – Work closely with outside council to rewrite HR contracts, draft language for issued transactions, and representation regarding BD legal matters.– Oversaw 2018 FINRA cycle examination process from inception to completion with no regulatory actions against the firm. – Led successful migration of company business through leadership of transition team across vetting and amendment of clearing agents in fall 2019. – Introduced first company cybersecurity program and subsequent penetration testing in January 2018 ahead of advancement of prospective legislation, leading to employee education concerning phishing and spoofing. – Successfully spearheaded company move twice, two and from New York City, including vendor vetting and approval, furniture and fixtures, delivery and installation, IT room server and data transfers as well as employee access, security systems and building management. Show less

New York, New York

– Tapped to vet FINRA regulation and alignment across newly launched equities research group, ensuring firm guidelines were fulfilled ahead of presentation to and participation in Investment Review Committee process for final approval. – Processed research during superstorm Sandy, working from remote location prior to relocating to BCP space.– Delivered coverage to 35 public companies across two industry sectors through meticulous design and roll out equity research brand for startup… Show more – Tapped to vet FINRA regulation and alignment across newly launched equities research group, ensuring firm guidelines were fulfilled ahead of presentation to and participation in Investment Review Committee process for final approval. – Processed research during superstorm Sandy, working from remote location prior to relocating to BCP space.– Delivered coverage to 35 public companies across two industry sectors through meticulous design and roll out equity research brand for startup Cash Equities Division from end to end. – Steered daily operations, formatting, production and distribution of product while leading book and record retention, including initiations, updates in price targets, firm ratings distribution and regulatory disclosures. Show less

Greater New York City Area

– Promoted to Manager and Supervisory Principal of 12-member branch office, overseeing negotiation, coordination and implementation of relocation and build-out of new branch.– Delivered 18% savings of total budget through expert landlord, securing sub-lease of 900 additional square feet of office space, generating $78K in annual revenue.

– Primary point of contact, developing and managing all components of client relationships, from presentation of investment ideas to daily market analysis for key accounts, generating approximately $2M in annual gross commissions over eight years. – Led internal strategy sessions to enhance product credibility and functionality to maximize brand recognition and client engagement. – Key contributor to increase of delivery efficiency, execution and clearing through revitalization of… Show more – Primary point of contact, developing and managing all components of client relationships, from presentation of investment ideas to daily market analysis for key accounts, generating approximately $2M in annual gross commissions over eight years. – Led internal strategy sessions to enhance product credibility and functionality to maximize brand recognition and client engagement. – Key contributor to increase of delivery efficiency, execution and clearing through revitalization of technology used inhouse. Show less

New York, New York