Tyler Mathis Email & Phone Number

Denver, Co, Us

London, England, Gb

London, England, Gb

I've delivered comprehensive regulatory expertise across multiple sectors, including Investment Advisors, Broker Dealers, Forex providers, and Money Service Businesses. My focus has been on designing and auditing compliance programs, compliance manuals, and Written Supervisory Procedures (WSPs). I've provided strategic regulatory guidance for clients engaging with key regulatory bodies such as FINRA, SEC, state agencies, CFTC, NFA, CIMA, and FINCEN. My goal has always been to support full compliance and risk mitigation. Over the years, I've developed and implemented robust compliance programs for over 15 clients, ensuring their adherence to regulatory standards and enhancing their operational integrity.My achievements are as follows:• Served as Interim Chief Financial Officer for an Investment Advisor, managing all financial operations, involving budget formulation, financial reporting, accounts payable/receivable, fund valuation, accrual accounting, billing processes, and investor communications, driving financial stability and growth.• Managed relationships with 10-20 clients concurrently, overseeing all communication channels, addressing client requests, guaranteeing timely deliverables, and fulfilling ad hoc client requirements, fostering strong client trust and satisfaction.• Led business development initiatives for US practice, such as identifying potential clients, crafting tailored pitch presentations, delivering compelling pitches, securing client agreements, and managing client onboarding processes, significantly expanding client base.• Architected and scaled company infrastructure from a complete rebuild, optimizing operational efficiency and supporting sustained growth.

Menlo Park, California, Us

I've managed and responded to inquiries from various regulatory bodies, ensuring all data, documents, and responses were meticulously prepared. By facilitating cross-departmental collaboration, I investigated issues, gathered pertinent data and documents, and crafted well-substantiated responses to regulators, significantly improving the efficiency and accuracy of our regulatory interactions. I played a pivotal role in annual examinations from regulatory agencies such as the OCC and FINRA, confirming meticulous preparation, compliance, and successful audit outcomes. I took ownership of the Bluesheets Program, onboarding and training a new team to manage daily operations while maintaining strategic oversight. This resulted in enhanced program efficiency and compliance. I addressed complex inquiries by orchestrating seamless coordination among engineers, trading teams, legal departments, and operations, ensuring precise and timely responses that safeguarded regulatory compliance.My accomplishments within this role are thefollowing:• Led 2020 OCC examination process with full accountability, from initial intake through thorough information gathering, precise submission, and effective handling of follow-up inquiries, demonstrating exceptional regulatory acumen.• Mitigated challenges of extensive FINRA examinations, assuring thorough and timely completion, bolstering firm's regulatory standing.• Directed and revitalized Bluesheets reporting program, leading transformative overhaul of trade reporting system, involving accurate demodulation of thousands of incorrectly coded reports, significantly improving data integrity and regulatory compliance.

Menlo Park, California, Us

I conducted comprehensive monitoring, review, and testing of reports related to potential market manipulation in customer accounts, including wash trading, front running, and spoofing, ensuring adherence to regulatory standards. I collaborated with Fraud, Legal, and Trading departments to escalate and resolve findings promptly, ensuring swift and effective resolution of market manipulation issues. Additionally, I partnered with internal audit teams to test and review surveillance processes, confirming the comprehensive coverage and robustness of our surveillance systems.Below listed are some of my achievements within this role:• Managed all aspects of Bluesheets reporting to regulatory bodies such as FINRA, SEC, and NYSE, ensuring accurate and timely submissions.• Led transformative revamp and enhancement of entire Bluesheets reporting program, significantly improving efficiency and compliance.• Managed trade surveillance for millions of trades per day, demonstrating exceptional capacity to manage high-volume and high-stakes monitoring.• Developed and expanded trade surveillance program, incorporating advanced methodologies and technologies to improve detection and prevention of market manipulation.

Denver, Colorado, Us

Denver, Colorado, Us

I conducted thorough reviews of trades from both equity and fixed income desks, covering assets such as equities, options, futures, swaps, CFDs, bonds, and ABS/MBS, ensuring compliance across all asset classes. By coding various compliance restrictions and regulations into rules within Charles River, I enhanced automated compliance checks. I produced daily reports for specific funds and separate accounts, maintaining accurate compliance documentation. Additionally, I reviewed and set up new accounts and guideline amendments in Charles River, ensuring all accounts were compliant from inception. I managed the review and processing of closed accounts, assuring accurate and compliant closures. Preparing various board reports, including IPO and segregation reporting, I provided clear and detailed compliance insights. I also acquired in-depth knowledge of 940 Act funds, further improving my compliance expertise.A section of my key contribution include:• Cooperated with traders, trading assistants (TAs), portfolio managers (PMs), and legal teams to investigate and resolve pre-trade alerts in Charles River, certifying timely order execution.• Reviewed carry-over trades to assure no open orders caused accounts to fall out of compliance, ensuring strict adherence to regulatory standards.• Performed detailed trade monitoring and reporting for hedge funds, diversified funds, and short trade monitoring, assuring ongoing compliance.• Maintained flawless track record with no trade errors while overseeing trade compliance on desk.

Denver, Colorado, Us

I served as an integral member of a 7-person team responsible for a significant fund accounting merger from April to June. Working closely with the former accounting agent, I ensured all processes, checks, and balances were in place to accurately produce NAVs starting June 6th. On the GUB team, I managed Bill Gross’ funds, handling 7-8 funds daily. My responsibilities included preparing cash projections, reconciling fund activities, and analyzing day-over-day income and expenses. I executed trades across a diverse range of securities, including USD and foreign bonds, bank loans, equities, asset-backed securities, CDS, IRS, TRS, futures, and options, safeguarding compliance and accuracy.My key successes in this role are:• Steered 5 funds and integrated 11 new funds onto theplatform, ensuring seamless transition and continuity.• Identified and resolved potential issues within funds by conducting thorough research and developing effective resolutions.• Prepared detailed reports for internal/external stakeholders, including SEC yields for fixed-income funds and IBC reporting for money market funds.• Managed most complex funds, filled with derivatives and hard-to-value securities, demonstrating exceptional analytical and problem-solving skills.

• Support 10 major accounts for mobile phone wholesaler by providing billing, billing analysis and support and customer contact point. Work with large carriers such as Sprint and T-Mobile and US government entities• Create reports for management tracking phone usage (voice and data), cost analysis, forecasting of revenue trends and cost analysis and profitability• Custom reports and data analysis for customers, management and business groups within the company

•Financial Analysis of ledger and operating activities resulting in management changes and increased efficiency• Managed and executed inventory and catering management systems• Directly reported to managing partner of holdings group assisting in acquisitions and market research

Created custom reports using data imported from S&P Capital IQ, Ycharts, and Thompson Reuters BETA for position composition and Risk analysis, advisor production analysis, and equity valuation research for a boutique investment bank

Responsible for back office and office management functions such accounts payable and receivable, and developed general office skills in an entrepreneurial design, construction and engineering firm