Mike N. Email & Phone Number

New York, New York, Us

• IT Manager accountable for on-prem and Azure cloud systems used by the investment management business• Manage data engineering, application development, reporting analytics and system support teams • Build and maintain proprietary systems interfaces with Blackrock’s Aladdin investment platform, State Street’s ePAM accounting system, Markit’s Wall Street Office loan portfolio accounting software and FactSet’s performance system.

New York, New York, Us

Glen Allen, Va, Us

A financial services and capital market consulting practice providing trading, financial, operations and compliance services to broker-dealers, investment advisors, proprietary trading firms and FCMs.• Instrumental in building the trading and markets practice specializing in trading system controls and compliance with SEC and FINRA regulations, particularly Rule 15c3-5• Several engagements as SEC and FINRA independent consultants retained to evaluate trading systems and technology controls used in equities and fixed income businesses• Performed system audits and analysis on NASDAQ and FINRA proprietary surveillance systems• Designed monitoring software to detect manipulative trading behaviors for high frequency traders• Retained as an expert witness in a SEC market manipulation case• Engaged to assist with a SEC Reg. SHO/ Short Sale stock loan possession and control enforcement investigation• Regularly advised firms on best execution, order routing, disclosure practices, regulatory reporting policies, procedures, and control frameworks

London, London, Gb

• Responsible for trading system strategy changes at ODL Securities after FXCM acquired the London based broker• Responsibilities included retooling proprietary trading and back-office systems • Created the strategic solution for management to re-launch their on-exchange brokerage offering

Us

A financial service holding company, agency broker-dealer and NFA member that was a leader in electronic execution, clearing and prime brokerage services for professional traders, alternative and traditional investment managers.

Bachelor Of Arts - Ba, Employee Relations

Master Of Science - Ms, Information Systems