John Soto Email & Phone Number

New York, Ny

Trading operations manager/supervisor for both equity and options trading desks. General Securities Principal, Branch Manager & Registered Options Principal. Responsible for trading supervision, compliance, risk management, and several facets of technology.Series 4, 7, 9, 10, 23, 55 and 63

Liaison between Equity Capital Markets and IT

Prime Brokerage, Equities Trading & Compliance SystemsInitially hired as the technology liaison to the director of compliance and risk management. Responsibilities included communicating with all levels of management and all departments, including trading, operations and technology, as well as support areas.• Designed, developed and implemented a web based Order Management System utilizing FIX 4.0 protocol.• Provided production support and enhancements to firm’s Prime Brokerage online presence.• Implemented real-time reporting and trade allocations.• Developed nightly processes to generate AIMR compliant reporting utilizing Advent Axys.• Designed and implemented Credit Risk Reporting for Credit Committee and Operations.• Responsible for the design, implementation and management of compliance systems such as e-mail, internet and trade surveillance.• Researched, proposed and implemented corresponding optical archive solution as required per SEC regulation 17a-4.• Automated the retrieval of all reference, time series and analytic data accessed via Bloomberg Data License. Incorporated data into firm’s Market Impact Model.• Developed a multi-threaded web based messaging system for Operations which allowed for separate vendor products to communicate with each other as part of firm’s Straight-Through-Processing initiative.