• Supervised two direct reports, which included, among other responsibilities, managing workflow, responding to escalations and conducting employee evaluations • Team lead for equity, options and swaps related regulatory inquiries, including serving as the primary point of contact for questions, mentoring team members and approving responses prior to submission to regulators • Researched, analyzed and responded to complex regulatory inquiries from the Securities and Exchange Commission, Financial Industry Regulatory Authority, National Futures Association and other self-regulatory organizations • Led meetings with regulators and members of Legal, Compliance, Risk, Operations and relevant business lines to discuss substantive issues stemming from regulatory inquiries • Created monthly global metrics pertaining to regulatory inquiries for senior management• Performed daily intake review to ensure the completeness of the Firm’s tracking of regulatory inquiries

• Provided real-time compliance advisory guidance to the Foreign Exchange and Local Markets Sales and Trading, NY LATAM Hub, and Global Investor Sales businesses relating to sales and trading rules and regulations, operational issues, transactional approvals and interpretation of internal compliance policies• Collaborated with other internal areas including Legal, Middle Office, Sales Management, Control Units, In-Business Risk and Market Surveillance to address compliance issues and respond to regulatory inquiries• Opined on business, surveillance and compliance monitoring escalations• Developed and administered compliance trainings

• Coordinated and managed examinations and audits conducted by the SEC, FINRA, NFA, OCC and other regulators• Worked with impacted businesses and functions to understand the examiner's focus, strategize on appropriate responses and prepare individuals for meetings with regulators• Drafted written responses to regulatory findings• Prepared internal reports summarizing exam status and issues for relevant governance groups• Assisted with special projects for senior managers

• Assisted with the drafting of various commercial contracts, including, but not limited to, selected dealer agreements, referral agreements, margin agreements and prime services client agreements• Researched, analyzed and responded to regulatory inquiries and subpoenas from the Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority and other federal and state regulatory agencies relating to potential statutory and SRO/Exchange rule violations• Interacted directly with business unit personnel, sales traders/traders, technology and operations personnel, and external and internal counsel, as required, to assist with gathering relevant information pertaining to regulatory inquiries and subpoenas• Provided guidance to business lines regarding securities laws and SRO regulations• Wrote Written Supervisory Procedures, Supervisory Manuals, and other compliance and supervisory procedures• Conducted examinations of multiple Institutional Trading Division, Fixed Income and Futures branch offices

• Examined broker-dealers surveillance procedures designed to detect and prevent potentially manipulative trading practices and compliance procedures regarding their supervisory responsibilities under SEC Rule 15c3-5, the market access rule• Wrote cautionary action letters to broker-dealers and referral memoranda to FINRA’s Enforcement division and the Securities and Exchange Commission • Researched and prepared exhibits for on-the-record testimony regarding a potential unregistered principal case• Analyzed alerts for potential patterns of algorithmic gaming, wash trading and prearranged trading

• Composed memoranda on various securities law related topics, including the finders exemption to broker-dealer registration and the regulation of government securities• Assisted in preparation of expert witness testimony for Harvey Pitt, former Chairman of the Securities and Exchange Commission, regarding issues in securities valuation procedures, specifically Section 38a-1 of the Investment Company Act of 1940