Thomas Gavin Email & Phone Number

New York, Ny

• Responsible for supervising Equity Derivative Sales and Trading Desks through a delegate Supervisory program• Monitor reports identifying potential insider trading, customer front running, anticipatory hedging, incorrect trade reporting and other potential fraudulent activity• Provide real time advice to sales and trading partners regarding internal policies and regulatory issues• Developed and implemented global reporting requirements for Regulation W applicable… Show more • Responsible for supervising Equity Derivative Sales and Trading Desks through a delegate Supervisory program• Monitor reports identifying potential insider trading, customer front running, anticipatory hedging, incorrect trade reporting and other potential fraudulent activity• Provide real time advice to sales and trading partners regarding internal policies and regulatory issues• Developed and implemented global reporting requirements for Regulation W applicable transactions• Partner with Compliance and Surveillance teams to respond to regulatory inquires, identify and put into effect new supervisory reports in order to remediate potential supervisory risks and trade reporting gaps• Meet with Trading and Sales Desk heads regularly to discuss new regulations, employee conduct and potential market manipulation activities, and set 15c3-5 trading limits• Review entries to firm error accounts and process operational risk incident reporting• Ensure sales and trading partners possess the correct regulatory licenses, adhere to requirements for mandatory block leave and employee trading, and complete firm/regulatory element training• Periodically test effectiveness and completeness of supervisory reports and make enhancements where required• Enforce disciplinary action against associates and Supervisors in breach of Firm rules and regulations• Provide guidance to operations and support partners to pro-actively prevent trade reporting violations Show less

New York, Ny

• Manager of eight associates providing support for Latin American, Canadian, fund derivative, single stock, index, exotics trading desks and private client sales support group• Ensure current processes and controls are adapted to conform to new legislation and regulations; e.g. Dodd Frank Act. • Member of Equity Control Initiative team responsible for identifying and correcting trade control gaps• Manage reconciliation of front end trading system and the bank ledger to ensure any… Show more • Manager of eight associates providing support for Latin American, Canadian, fund derivative, single stock, index, exotics trading desks and private client sales support group• Ensure current processes and controls are adapted to conform to new legislation and regulations; e.g. Dodd Frank Act. • Member of Equity Control Initiative team responsible for identifying and correcting trade control gaps• Manage reconciliation of front end trading system and the bank ledger to ensure any discrepancies are resolved• Team lead on multiple global project initiatives focused on futures trading, position expiration, barrier monitoring, account migration and deal review to streamline processing and increase controls• Trained local support staff in branch offices in Mexico and Brazil• Monitored instrument data parameters for the Americas trading desks • Lead training sessions for settlements and documentation teams in order to increase product knowledge• Meet with head of each trading desk on a consistent basis to review current projects and business initiatives• Participated in anti-money laundering courses on a yearly basis • Primary liaison for traders, finance, clearing, corporate action, technology and compliance teams • Conduct yearly reviews for employees• Process weekly and monthly listed option expiration bookings Show less

New York, Ny

• Prepared legal documentation for Equity and Fixed Income Derivative transactions including Interest Rate Swaps, Cross Currency Swaps, Latin American Currency Futures, Equity Swaps, Prepaid Variable Forwards, Equity Options, Variance Swaps, and Equity Linked Products• Liaised daily with clients and the marketing/trading teams to ensure any issues are resolved regarding their respective trades• Performed own functions independently while assisting others with their daily… Show more • Prepared legal documentation for Equity and Fixed Income Derivative transactions including Interest Rate Swaps, Cross Currency Swaps, Latin American Currency Futures, Equity Swaps, Prepaid Variable Forwards, Equity Options, Variance Swaps, and Equity Linked Products• Liaised daily with clients and the marketing/trading teams to ensure any issues are resolved regarding their respective trades• Performed own functions independently while assisting others with their daily accountabilities Show less