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.
• 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.
• 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.
• 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.
• 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.
• 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.
• 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.

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.
• 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.
• 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.
• 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