Executive Summary• Accomplished equity trading professional with over 25 years’ experience in US and non-dollar markets, covering all major geographic regions. • Front office experience includes deep understanding and application of risk management principals and concepts, customer interface, execution and facilitation across equity product lines and geographic regions, and principal trading. • Managed portfolio of $100+ million • Product expertise includes cash equities, equity and index options, index futures and foreign exchange. • Broad understanding of global economic trends and data, and their potential impacts on global asset prices. • Background in global trading incorporates a broad understanding of the global clearing process, helping reduce and minimize clearing related exposures. • Mitigated risk in global clearing process in markets such as Spain, Brazil, Mexico and U.K. by being Domain Expert in country specific clearing processes. • Compliance Interface - Trading experience incorporated with compliance and regulatory knowledge affords insight into the trade process, from point of origination to clearing and settlement, including trade surveillance techniques. • Regulation NMS – Experienced in the complexities in application of best execution practices. • AML and KYC compliance experience applied in the structuring and approval for a 15a-6 broker dealer. • Versed in Excel, Word, Bloomberg • Principal Licenses: Series 4, 24• Licenses: 3, 7, 15, 55, 63
Listed skills include Equities, Capital Markets, Trading, Financial Markets, and 5 others.
