Stuart Simpson Email & Phone Number

St. Louis, Mo, Us

Lead a team responsible for all aspects of equity sales and trading compliance across two broker dealer platforms including retail and institutional clients. Oversee reviews including best execution, SEC Rule 605 and 606, short sale obligations, trade advertising, trade and audit trail reporting. Work closely with traders and the heads of business units to ensure the department is informed of new policies and procedures. Conduct testing and verification to ensure trading, compliance and reporting systems are in compliance with regulatory requirements. Responsible for interfacing with regulators, responding to regulatory inquiries, developing surveillance patterns, and drafting policies and procedures.

St. Louis, Mo, Us

Responsible for supporting and advising the equity trading and sales desk, regarding all related rules and regulations. Conducted reviews of trading activity, responded to regulatory inquiries and requests and develop supervisory procedures.

Washington, District Of Columbia, Us

Senior Regulatory Analyst, Market Quality Group – October 2013 to July 2015Reviewed firm compliance with multiple FINRA rules concerning equity trade reporting in areas such as trading halts, advertisement of trading volumes, Limit Up-Limit Down (LULD), reporting on the Alternative Display Facility (ADF), TRF Trade Reporting, SEC Rules 605 and 606 reporting, and Alternative Trading System (ATS) transparency. Routinely reviewed trade reports, OATS reporting, and various internally available resources to determine firm compliance. Presented written and oral reports for management in regards to firm compliance with FINRA rules. Developed a thorough understanding of the investigative techniques and relevant rules and regulations enforced by FINRA in my primary areas of regulatory responsibility. Prepared for and conducted on the record interviews from individuals as a result of investigations.Senior Regulatory Analyst, OATS Operations Group – September 2010 to October 2013Reviewed internal sweep results concerning firm’s OATS reporting for compliance with all aspects of FINRA OATS rules. Prepared and sent inquiry letters to firms. Created reports for management concerning individual firm reporting and industry trends. Assisted firms in all aspects of OATS reporting requirements. Analyzed firm’s written supervisory procedures. Provided guidance to firms in complying with FINRA rules. Trained new staff members.

Birmingham, Alabama, Us

Assisted high net worth and private banking clients in choosing the best banking and investment options. Offered stocks, bonds, mutual funds, and other investments through Morgan Keegan.

Conducted financial needs analysis and recommended appropriate products including mutual funds, stocks, bonds, 529 plans, and life, long term care, and disability insurance.

Us

Oversaw trading of 230 banks, insurance companies and financial institutions. Built strong relationships with company management teams and institutional investors. Solicited and transacted business with institutional trading accounts as well as company buyback business.

St. Petersburg, Florida, Us

Oversaw trading of numerous sectors including telecom, technology, healthcare and biotech. Facilitated trading for institutional and retail accounts. Tested new trading systems and helped train other traders in their use.

NASDAQ Liaison – July 1998 to June 2000Facilitated communication between traders, other firms, and retail sales force. Educated retail brokers on market regulations. Provided back up support for position and agency traders. Fixed Income Intern – December 1996 – July 1998Booked customer trades in fixed income securities. Balanced daily trade blotters and managed department error account. Gained experience by sitting with senior traders on the bond-trading desk.