Compliance/Financial and Operations Principal (“FINOP") with extensive experience in Broker- Dealer regulatory reporting, registrations, Annual Firm Element Training, Continuing Education, Marketing and Advertisements, Communications, Trade Surveillance, BSA/AML & KYC due diligence, Written Supervisory Procedures, Email review (Global Relay), FINRA Gateway CRD Balances, Broker Dealer CRD registrations and Branch office inspections.Career highlights include: Established… Show more Compliance/Financial and Operations Principal (“FINOP") with extensive experience in Broker- Dealer regulatory reporting, registrations, Annual Firm Element Training, Continuing Education, Marketing and Advertisements, Communications, Trade Surveillance, BSA/AML & KYC due diligence, Written Supervisory Procedures, Email review (Global Relay), FINRA Gateway CRD Balances, Broker Dealer CRD registrations and Branch office inspections.Career highlights include: Established Compliance function for two successful startup broker-dealers, BrokerTec and RCap Securities.Managed audits/examinations by and requests for information from the SEC, and FINRA.Experience as FINRA Examiner and FINRA Arbitrator.Recognized leadership through progressively senior positions with several broker-dealers including Chief Compliance Officer, FINOP, and Chairman of Credit Committee. Show less

As FINOP,Manage all regulatory reporting for the broker-dealer in compliance with SEC, FINRA and FSA regulations. Manage preparation and filing of quarterly FOCUS, SSOI, and Form Custody reports including the net capital computation and compliance (SEC Rule 15c3-1).As Client Services Principal,Ensured compliance for newly-established secondary market advisory (SMA) services for alternative investments. Provided regulatory review and testing of SMA platform and conducted due… Show more As FINOP,Manage all regulatory reporting for the broker-dealer in compliance with SEC, FINRA and FSA regulations. Manage preparation and filing of quarterly FOCUS, SSOI, and Form Custody reports including the net capital computation and compliance (SEC Rule 15c3-1).As Client Services Principal,Ensured compliance for newly-established secondary market advisory (SMA) services for alternative investments. Provided regulatory review and testing of SMA platform and conducted due diligence for new client on-boarding process. Show less

Established all new business initiatives for startup subsidiary across securities lending, underwriting and treasury/options proprietary trading in accordance with financial and operational regulations of FINRA and SEC. Oversaw daily balance sheet reconciliation and reviewed FOCUS filings for submission to FINRA.• Instrumental in the formation of startup broker-dealer. • Credit Committee Chairman. Ensured adherence to daily credit/risk limits (VAR, Positions). Established credit limits… Show more Established all new business initiatives for startup subsidiary across securities lending, underwriting and treasury/options proprietary trading in accordance with financial and operational regulations of FINRA and SEC. Oversaw daily balance sheet reconciliation and reviewed FOCUS filings for submission to FINRA.• Instrumental in the formation of startup broker-dealer. • Credit Committee Chairman. Ensured adherence to daily credit/risk limits (VAR, Positions). Established credit limits for all business initiatives. • Designated AML Compliance Officer responsible for overseeing the anti-money laundering program.• Formalized the process for onboarding clients. Ensured new counterparty agreements were properly executed, performed credit reviews and Patriot Act due diligence.• Created and enforced SOX controls. Show less

Performed daily surveillance for all securities transactions including all Fixed Income Debt Securities, Equities, Options, and Structured Products for both institutional and retail clients. • Directed compliance for the execution and dealing of Debt Capital Market underwritings resulting in $10 million in revenue for the firm.

Daily surveillance review of all transactions for High Yield and High Grade Corporate bonds, Treasuries, Agencies, Municipal bonds, CMOs, ABS, MBS and Preferred Stock.• Handled TRACE Reporting and FINRA TRACE Inquiries.• Developed procedures for Preferred Stock covering Best Execution, ACT Reporting and Supervisory Review to minimize violations.

As Chief Compliance Officer of a startup electronic broker dealer. Responsible for all compliance functions, including developing Anti-Money Laundering Procedures, Registrations, Continuing Education, Written Supervisory Procedures and Regulatory Financial Reporting. Obtained regulatory approvals to transact in corporate securities, foreign debt securities, basis (EFP) transactions on U.S. Treasury instruments. Increased business by negotiating trading agreements with… Show more As Chief Compliance Officer of a startup electronic broker dealer. Responsible for all compliance functions, including developing Anti-Money Laundering Procedures, Registrations, Continuing Education, Written Supervisory Procedures and Regulatory Financial Reporting. Obtained regulatory approvals to transact in corporate securities, foreign debt securities, basis (EFP) transactions on U.S. Treasury instruments. Increased business by negotiating trading agreements with new participants and coordinating all internal and external communications.Developed Membership Applications for BrokerTec Futures Exchange and surveillance procedures with the National Futures Association. Show less