Tim Dunham Email & Phone Number

New York, United States

New York, New York, Us

Strategic Advisor to our corporate CFO. Supervision of financial regulatory compliance. Subject Matter Expert (SME) in modernizing the brokerage ecosystem.

New York, New York, Us

We live in a time when anyone can download an app and start trading for free in minutes. Meanwhile, transactions between financial institutions run on a patchwork of legacy technology. It’s slow, clunky, expensive — and there’s no alternative.The biggest spenders get priority access. The rest live in a state of uncertainty. They may be asked to limit activity, if they can get access at all.Clear Street is building a technology infrastructure that works for everyone. Clients will have access to a modern platform with better products, better service, and better tools to build and run their businesses.We're fixing it.

New York, New York, Us

Chief Financial Officer and Financial and Operations Principal (Series 27) for Virtu’s US client facing broker-dealer (“BD”) subsidiary: Virtu Americas LLC (“VAL”). Manage and supervise all aspects of financial regulatory compliance for BD operations within VAL.Frequent interaction with all external regulators (SEC, FINRA, CFTC and CME) related to the BD, maintaining and fostering strong relationships for the firm.Review and oversee all submissions of daily computations, monthly filings and audited annual financial statements as well as all compliance under SEC rule 17a-5. Interface regularly with compliance, operations and middle office for all aspects of financial and regulatory reporting. Drive technology change to improve efficiency of reconciliation and reporting functions and improve automation within the finance function.

New York, Ny, Us

Regulatory and Operational ControllerChief Financial Officer and Financial and Operations Principal (Series 27) for KCG’s US broker-dealer (“BD”) subsidiary: KCG Americas LLC (“KCGA”). Manage and supervise all aspects of financial regulatory compliance for BD operations within KCGA.Frequent interaction with all external regulators (SEC, FINRA, CFTC and CME) related to the BD, maintaining and fostering strong relationships for the firm.Review and oversee all submissions of daily computations, monthly filings and audited annual financial statements as well as all compliance under SEC rule 17a-5. Interface regularly with compliance, operations and middle office for all aspects of financial and regulatory reporting. Drive technology change to improve efficiency of reconciliation and reporting functions and improve automation within the finance function.Headed administrative consolidation of equities and options market making, DMM and direct market access businesses subsequent to the Knight/GETCO merger.

Regulatory and Operational ControllerChief Financial Officer and Financial and Operations Principal (Series 27) for Knight’s US broker-dealer (“BD”) subsidiary: Knight Capital Americas LLC (“KCA”). Responsible for financial operations at KCG Futures, a division of KCGA, a full service Futures Commission Merchant (“FCM”).Spearheaded consolidation of six separate BD entities into a single legal entity freeing up over $400 million in trapped capital and achieving several millions annually in administrative cost reductions.Led development of capital allocation and monitoring tools that measure capital usage near real time distributing metrics and alerts to trading desks, supervisors and senior management.Successfully led the internalization of all equity, fixed income and equity option clearing from outsourced providers that created the capability to clear up to 20 million trades daily. Developed specifications all financial interfaces and financial reporting capabilities of the clearing engine. Led regulator interaction regarding capital and customer protection compliance after Knight’s August 1, 2012 technology issue.

Equity Markets ControllerManaged financial regulatory compliance and reporting for six separate broker dealer entities covering several separate businesses and asset classes.Oversaw financial management for Knight’s London based broker Knight Capital Europe, Ltd, successfully recruiting and staffing the ten person team.Led automation efforts related to design and implementation of several financial processes including sales payouts, daily business line reporting and net capital monitoring. Supervised the integration of financial operations related to five separate broker dealer acquisitions.

Controller and Head of Institutional OperationsSupervised a staff of ten managing all financial and operational aspects of the firm’s primary operating BD subsidiary, including regulatory and management reporting, payroll, benefits administration, variable compensation plans, trading operations and clearance activities.Actively interacted with CEO and CFO regarding client profitability, statistical revenue and expense analyses, variable compensation plans, revenue forecasting and cost management.Performed key roles in the due diligence and implementation processes for three product related corporate transactions.Successfully negotiated with clearing broker resulting in substantial rate reductions in a changing market environment resulting in total cost savings of over 70%.Automated processes related to commission accounting and allocation, variable compensation plans and T&E reporting and reimbursement resulting in both staff and cost reductions.Managed all aspects of the firm’s corporate insurance and risk management programs including insurance broker selection and negotiation of all professional liability and property and casualty insurance coverage.Chaired cost management and reduction effort during major down-sizing resulting in substantial reductions in all line items and expense categories.Oversaw all employee benefit programs including vendor selection, price negotiation and evaluation of individual programs related to two separate corporate transactions.

Us

Worldwide, Oo

Bba, Public Accounting

Education record