Personal Conduct & Surveillance• Responsible for the Electronic Communication Review & Surveillance programo Supervisory duties over an offshore e-comm review team to ensure that firm operating procedures and quality of work is maintainedo Performed checks to ensure that e-comm messaging is monitored, captured & reviewed as per firm policies• Development & Implementation of a new firm wide E-Comm Surveillance tool (Behavox)o Perform extensive UAT testing to meet firm policies and regulatory guidelineso Coordinate and work extensively with vendor and internal stakeholders to resolve any concernso Organize and perform trainings as related to e-comm for various business stake holders• Expansion and Maintenance of Policy and Procedures of various functions including E-Comm Surveillance and Employee Trading• Administered and advised on employee trading & outside business/activities within firm policies• Coordinated with senior stakeholders to investigate and resolve exceptions to firm policies• Performed New Hire Orientations/Compliance Trainings and advised on firm policies for incoming Employees• Created and maintained compliance trainings to meet changing firm policies and regulatory guidelines.• Assist in compiling and writing Firm responses to audit requests from external Regulatory Firms & internal teams

• Organize and join stakeholders and key team members to optimize technology roadmap• Coordinate the design and build-out of an internal ATS and User Interfaceo Responsible for designing matching engine protocolso Accountable for Risk Management / Trade Surveillance controls within the ATS• Establish end to end system testing protocols for ATS certification • Collaborate with stakeholders to assist in evaluating various vendors for integration within the operational framework• Create process flows designs; complete infrastructure of systems from onboarding to execution to settlement• Manage daily meetings with technology to guide development and implementation of technology for the Firm• Perform demonstrations of Digital Equity and FICC platforms for potential clients• Implement and perform trade desk activities including compiling trade reports and reconciling any issues between clearing firms• Assemble and review Written Supervisory Procedures (WSPs) for the broker dealer• Assist in compiling Firm responses for FINRA CMA applications

Supervision and Governance Program• Coordinated and chaired monthly meetings with senior stakeholders to satisfy FINRA rule 3110 requirements related to supervision and governance for DBSI • Compiled, investigated and escalated operational incidents and prepared status reports for DBSI COO office to identify areas of risk to the broker dealer• Liaised with 1st Line of Defense (LOD) to support, challenge and mediate risk incidents• Assembled, reviewed and preserved Written Supervisory Procedures(WSPs) database for the broker dealer• Maintained Series 99 Supervisory structure for DBSI operations related to FINRA requirements and sustained clear reporting lines for risk and control purposes• Regulatory Reporting team member o Assisted in preparation and compilation of the 15c3-3 customer protection formula o Prepared and coordinated responses to internal and external audit requests o Performed daily, weekly & monthly Possession and Control Functions• Established and maintained electronic communication surveillance program for DBSI broker dealer using HP Autonomy/Zantaz and Actimize software o Set up guidelines and defined scope for reviewers o Performed systemic review of all electronic communications o Escalated areas of concern based on internal policies/market regulations o Periodic review of established lexicons o Stakeholder/tester in migration of new electronic communication platform• Lead for DB USBD Dashboard internal operations monitoring system o Use internal platform to identify and escalate potential areas of risk and escalate to senior management o Laisse with users and developers to develop system enhancements o Developed training programs o Static Data maintenance o Prepared tracking and usage reports using Cognos software

● Oversaw all electronic trading platforms in the DB listed derivatives space for institutional clients and internal execution teams● Coordinated with compliance group to respond to regulatory audits● Monitored and maintained pre and post trade risk analysis within the DB listed derivative trading infrastructure● E-trading contact for internal and external audits, trade surveillance and compliance reviews ● Main contact in the U.S. for the design input and implementation of new monitoring and risk tools within the listed derivative space● Provided execution support for DB internal and external clients● Delivered accurate trade status and market information in a timely manner within a fast paced trading environment● Worked with stakeholders in business and products to deliver solutions to daily and long term issues within the listed derivatives space● 2012 DB RARE Award recipient for restructuring pre-trade risk in compliance with new CFTC regulations

Execution and Clearing DivisionKey member of Electronic Trading team specializing in managing broker dealerclient relationships using GS Redi Plus platform and Algorithmic trading suiteSupported the customizing of the algorithmic offering to meet client needsManaged client relationships from the on-boarding stage thru daily coverageConsistently drove market share with Sigma-X and the GS Algo offering to existing and future clientsRecommended trading strategies on a daily basis to seek best execution and liquidity for all clientsAssisted sales team in identifying potential streams of revenue from new and existing clientsWorked with buy-side clients in enhancing equity and option smart routers for cost and performance needsUtilized market data and performance tools to help clients make productive trading decisions and capture alphaFamiliar with multiple order management systems, including Fidessa, Bloomberg, and MixitAdvocate to customers in resolving trading/settlement issues with equity/option exchanges Key member for resolving issues and managing risk associated with trading outagesDealt extensively with GS crossing network and High Frequency Trading clientsExtensive knowledge of back office technology and clearing functionsLiaison between Compliance, Operations, Market Data and Technology.

NYSE Processed and executed client orders working closely with floor brokers Communicated market information to clientsPerformed back office duties including maintenance of firm's records and billingConducted first level problem determination and solution for hardware, software, and network issues in a trading environment