Michael Mccarty Email & Phone Number

Wantagh, NY, US

Washington, District Of Columbia, US

New York, NY, US

Performed OATS Business Requirements analysis for new releases and maintenance releases. Monitored daily OATS, Rule 605 and 606, and surveillance reports.Conducted CAT NMS plan business analysis for equities and options.Responsible for compliance and risk analysis of upcoming engineering releases and Project Management of compliance-related enhancements.

New York, New York, US

• Conduct business analysis of regulatory reporting requirements for electronic equities trading and identify changes resulting from key new initiatives.
• Key liaison with client compliance officers regarding the following: OATS, SEC Rules 605 and 606, BlueSheets, RegSHO and RegNMS reports.
• Have a long-standing record of receiving ‘No Action’ letters from regulators and have significantly reduced fines paid to any regulators on behalf of my clients.
• Supervise FINRA OATS site for Lava's OMS customers, the LavaFlow ECN (FLOW), LeveL ATS and GOTO (Routing Engine) which have resulted in FINRA Monthly Report Cards being in the high peer and industry percentiles.
• Collaborate with Citi Equities to address any of their compliance reporting issues including their Equity Data Warehouse team with interpreting and applying data where it is required.
• Work with Lava Project Managers and Development Leads to create ways for the team to work more effectively including compiling a list of the key production issues and ongoing tasks for the team to better utilize.

• Key liaison between internal and external user groups, software development teams, sales teams and management teams.
• Coordinated enhancement requests and maintenance task analysis within an aggressive release schedule.
• Oversaw the business requirements for NASDAQTrader.com, OTCBB.com, NASDAQ’s Internet Security Infrastructure, E-commerce model, and the NASDAQ Real-Time Web Cache based on TIBCO messaging, from concept through.
• Project Team Leader of a five-member team for re-engineering of the NASDAQ Quotation system including the development of business requirements using model-driven approach to systems development.
• Produced Project concept documents and business requirements enabling institutional and private investor’s access to the marketplace.
• Developed and enforced requirements for the construction of new vendor lines which resulted in doubling the output of newly formatted sequenced data.

Bs Education, Elementary Education And Teaching

Education record