Work within a global Central Trade Surveillance team within the GM BCO function charged providing expertise together with others, maintaining global transparency and consistency of roles, processes and accountabilities, and enhance governance and associated documentationInterface with Regulatory agencies (e.g. OCC, FINRA, SEC, PRA, FCA, etc.) as required, representing the bank and to be accountable for ensuring regulatory concerns are appropriately and swiftly addressedWork with… Show more Work within a global Central Trade Surveillance team within the GM BCO function charged providing expertise together with others, maintaining global transparency and consistency of roles, processes and accountabilities, and enhance governance and associated documentationInterface with Regulatory agencies (e.g. OCC, FINRA, SEC, PRA, FCA, etc.) as required, representing the bank and to be accountable for ensuring regulatory concerns are appropriately and swiftly addressedWork with global GM BCO and internal stakeholders to identify control gaps, design, implement and track through SIAIs remedial actions to close and continue to improve conduct and culture within the business and wider organizationSupport the bank’s Trade Surveillance Framework in the FLU or 1st Line responsibilities, including design, implementation, parameter setting, regular reviews, venue coverage, data quality, alert dispositioning and investigationsRepresent Global Markets BCO at various committees, forums and meetings Show less

Compliance Officer Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM)’s Surveillance team responsible for the design, implementation, and oversight for a suite of surveillances designed to detect behaviors that may violate regulatory rules or internal policies and procedures. Provide compliance support for equity sales and trading, as well as support functions:IT, Risk, Operations, Controllers, Finance.Provide advisory support to… Show more Compliance Officer Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM)’s Surveillance team responsible for the design, implementation, and oversight for a suite of surveillances designed to detect behaviors that may violate regulatory rules or internal policies and procedures. Provide compliance support for equity sales and trading, as well as support functions:IT, Risk, Operations, Controllers, Finance.Provide advisory support to traders, sales traders, supervisors, Risk, and IT on regulatory guidance and rules.Specialty in equity market structure, market making, electronic trading, algorithmic trading, market access, Reg Sho, Reg NMS, Options, and CAT reporting requirements. Show less

Provide day-to-day Investor services to both the Fund Manager and the investors in the fund. Provide oversight and guidance to other members on the team. Process investor transactions in line with the fund documentation, anti-money laudering requirements, statutory regulations and company policies and procedures. Process the cash movements associated with investor activity. Provide investors and their nominees with statements, contract notes and other documentation.

*Institutional and proprietary equity trader. *Defined risk appetite for the institutional equity-trading desk.*Daily reviews of the equity surveillance reports. Included trade reporting, Regulation National Market System, best execution, short sales and affirmative determination.*Coordinated with compliance department to ensure proper trade reporting with FINRA & SEC.*Proactively managed financial, regulatory and operational risks.

*Achieved a 33% CAGR of commission revenues in the consumer sector over 5 consecutive years.*Successfully developed, maintained and cultured client relationships; includes portfolio managers, analysts, and traders.*Hosted in-house morning sales call providing: trading focus, previous day trading highlights, marketing firm’s daily research, and generating derivative calls for sales force.*Diligently maintained communication with research, research sales, and senior level management… Show more *Achieved a 33% CAGR of commission revenues in the consumer sector over 5 consecutive years.*Successfully developed, maintained and cultured client relationships; includes portfolio managers, analysts, and traders.*Hosted in-house morning sales call providing: trading focus, previous day trading highlights, marketing firm’s daily research, and generating derivative calls for sales force.*Diligently maintained communication with research, research sales, and senior level management to maximize revenue opportunity; as well as the compliance department to ensure proper trade reporting and SEC compliance.*Developed and oversee budgets for the market makers, project forecasts, and evaluate risk/opportunity assessments. Show less

*Created and ran small cap desk, with a universe of over 700 stocks and projected incremental annual revenue of $6 million.*Averaged $12 million a year in gross sales commissions trading technology and consumer stocks with customers including: large and small mutual fund managers, hedge funds and middle market accounts.*Analyzed corporations’ 8-K’s, press releases, and quarterly reports; provided in-depth analysis regarding the potential impact on related sectors and securities to… Show more *Created and ran small cap desk, with a universe of over 700 stocks and projected incremental annual revenue of $6 million.*Averaged $12 million a year in gross sales commissions trading technology and consumer stocks with customers including: large and small mutual fund managers, hedge funds and middle market accounts.*Analyzed corporations’ 8-K’s, press releases, and quarterly reports; provided in-depth analysis regarding the potential impact on related sectors and securities to institutional clients.*Actively coordinated with quantitative and fundamental research; developed earnings previews and notes, created and updated earnings and valuation models, assessed data in implementing proper markets.*Maintained industry metric analyses: same store sales figures, transportation load factors, communication supply chain inventories. Show less