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
• 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

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
• 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

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.
• 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
• Performed own functions independently while assisting others with their daily accountabilities Show less