Review surveillance output and analyze trading and market activity, to identify potential market manipulation or other impermissible trading behavior. Conduct reviews and analysis to support regulatory exams and inquiries. Work with global Surveillance and Technology stakeholders on new and enhanced surveillances including defining requirements, conducting analysis and UAT testing, and implementing related processes and procedures.

Coordinate with Trading, IT and Compliance to ensure accurate and timely trade & transaction reporting to regulators (SEC, FINRA, MSRB, FED)Review and improve current controls relating to regulatory reporting of OATS, ACT, Electronic Blue Sheets (EBS), and LOPRAssist compliance in reviewing, analyzing and responding to regulatory inquiries. UAT & QA testing to ensure reporting and/or technology changes conform to regulatory reporting requirements

Conduct in-depth reviews and timely investigations of trading in listed securities.Perform analysis of trading activity to detect possible violation of rules, policies, and procedures.Interact with member organizations to obtain information and documentation.Examine all related market data (OATS, Bluesheets, Exchange Orders) and reconstruct trading using various automated tools and other methods.Draft investigative memorandum detailing investigative findings and recommending appropriate disposition to management supported by factual evidence.

Analyze technical and fundamental data to formulate trading strategiesImplemented trading plan using futures, equities and options markets

Traded the firm's capital on and off the exchange floor in Coffee, Sugar, Crude Oil and Natural Gas futures Negotiated an agreement with the IntercontinentalExchange (ICE) to act as a market maker at the introduction of the electronic coffee futures contractAccepted to membership in the New York Mercantile Exchange (NYMEX) Trained assistant traders in the use of technical analysis and money management toolsWorked with other traders in developing profitable hedging strategies

Accepted to membership in the Coffee, Cocoa & Sugar Exchange (CSCE) Traded outright futures and calendar spreads on all the exchange products (coffee, cocoa, sugar, cotton, orange juice) with a strong concentration in coffee spread tradingImplemented trading strategies and money management systems to increase profitabilityAppointed by the NYBOT (formerly CSCE) Chairman to serve on the Price Settlement CommitteeSenior member of NYBOT Mock Trading Committee, responsible for training and evaluating all new applicants for membership

Serviced and maintained established client relationships while continuing to expand customer baseManaged accounts receivable/payable with all data vendors and brokersResponsible for installation and maintenance of all customer trading platformsExecuted customer orders on futures exchanges around the globeDeveloped and executed a profitable systematic trading system using house capitalActed as IT contact during move to new offices at the NYMEX Responsible for placing orders, daily P&L statements and account reconciliation of Mark Fisher's various personal brokerage accounts.