Chief Technology Officer, Vice President
CurrentResponsible for the development, support, and operations of all systems and technology for the SEC mandated Consolidated Audit Trail (CAT). The CAT is a novel, comprehensive system allowing regulators to efficiently and accurately track all activity throughout the U.S. markets in National Market System (NMS) and Over the Counter (OTC) securities. The CAT is one of the largest data repositories globally, containing a complete record of all equities and options traded in the US and associated customer and account information. The projected value of the 7 year contract to build and operate the CAT is greater than $1.5 billion.• Provide oversight and coordination between the FINRA CAT, NMS Exchanges (e.g. NYSE, NASDAQ, CBOE, etc.), SEC, financial industry members, and the technology teams and vendors.• Partner with FINRA CAT business and its Board of Managers to outline technology strategy, initiatives and objectives, as well as assess tradeoffs of budget, scope, schedule and risk. • Work closely with FINRA CAT business, NMS Exchanges, Industry representatives, and the SEC to ensure delivery of their business objectives through technology solutions and to develop and deliver on technology roadmaps with a multiyear planning horizon.• Brief and negotiate with the SEC Chairman’s office and divisions of Trading & Markets and Enforcement on CAT Plan requirements, costs and security in conjunction with the NMS Exchanges.• Provide overall technology program/project management including oversight of business analysis, tracking and reporting, capacity planning, change management, and coordination of industry testing.• Provide partnership and coordination with technology development leadership to ensure timely delivery of CAT technology.• Collaborate with AWS Senior Executives to improve on their cloud services and features.• Manage/coordinate technology vendors including cloud infrastructure, software development, data, network, and auditors