Willie Wong

Willie Wong Email and Phone Number

Chief Compliance Officer, Casey Securities LLC, FOG Equities LLC, & Hamilton Executions LLC @
Willie Wong's Location
San Francisco, California, United States, United States
Willie Wong's Contact Details

Willie Wong personal email

n/a

Willie Wong phone numbers

About Willie Wong

Experienced professional with a track record of analyzing problems, developing and simplifying procedures, and finding solutions to complex regulatory issues. Extensive knowledge of Exchange regulations and option trading strategies. History of promotions and achievement awards to recognize exceptional work performance.

Willie Wong's Current Company Details
Casey Securities LLC

Casey Securities Llc

Chief Compliance Officer, Casey Securities LLC, FOG Equities LLC, & Hamilton Executions LLC
Willie Wong Work Experience Details
  • Casey Securities Llc
    Chief Compliance Officer
    Casey Securities Llc Jul 2018 - Present
    San Francisco Bay Area
    Responsible for the entire regulatory program for Casey Securities, RFA Securities, FOG Equities and Hamilton Executions. Areas of responsibility include WSPs, surveillance procedures, responding to regulatory requests, maintaining Market Access controls, preparing for the Consolidated Audit Trail, training, registration requirements, and employee code of ethics.
  • New York Stock Exchange
    Director, Regulation
    New York Stock Exchange Nov 2016 - May 2018
    San Francisco Bay Area
    Responsible for heading the regulatory efforts of NYSE Regulation in San Francisco, CA for NYSE Arca. Manage team of 8 to monitor members' compliance with exchanges' rules and applicable federal securities laws. Review trading activity in all securities traded on NYSE Arca.
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  • Ise Holdings
    Director, Market Surveillance
    Ise Holdings Apr 2003 - Nov 2016
    Greater New York City Area
    Create Supervisor program to reduce risk. Successfully manage and coach staff of 5 to positively contribute to department results. Collaborate with SVP, Surveillance Officer on strategic planning of department objectives. Received ISE Stars award in recognition for my contributions and for demonstrating ISE core values.As Associate Director (2003-2005), headed Market Investigations Department and Insider Trading reviews.
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  • U.S. Trust
    Assistant Vice President
    U.S. Trust Oct 2001 - Apr 2003
    Greater New York City Area
    Internal transfer from Charles Schwab to U.S. Trust. Managed staff of four employees responsible for monitoring personal trading activity of 800 Access Persons, pursuant to U.S. Trust’s Investment Advisor Code of Ethics.
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  • Charles Schwab
    Senior Compliance Analyst
    Charles Schwab Mar 2000 - Oct 2001
    San Francisco Bay Area
    Reviewed customer option accounts that pose a potential risk to firm by reviewing customer’s option trading strategies, profits/losses, and suitability of trading. Passed Series 7, 63, and 24.
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  • Pacific Exchange, Stock And Options (Pcx)
    Chief Investigator
    Pacific Exchange, Stock And Options (Pcx) Aug 1994 - Mar 2000
    San Francisco Bay Area
    Ensured compliance with Exchange rules and federal securities laws on options trading floor. Hired as an Assistant Analyst and received successive promotions.
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Willie Wong Skills

Trading Securities Options Equities Electronic Trading Capital Markets Financial Markets Financial Services

Willie Wong Education Details

Frequently Asked Questions about Willie Wong

What company does Willie Wong work for?

Willie Wong works for Casey Securities Llc

What is Willie Wong's role at the current company?

Willie Wong's current role is Chief Compliance Officer, Casey Securities LLC, FOG Equities LLC, & Hamilton Executions LLC.

What is Willie Wong's email address?

Willie Wong's email address is ww****@****ise.com

What is Willie Wong's direct phone number?

Willie Wong's direct phone number is (908)-454*****

What schools did Willie Wong attend?

Willie Wong attended University Of California, Davis, Westmoor High School.

What skills is Willie Wong known for?

Willie Wong has skills like Trading, Securities, Options, Equities, Electronic Trading, Capital Markets, Financial Markets, Financial Services.

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