Warren, New Jersey, United States
Financial Services professional with comprehensive industry experience. Seeking a Supervisory role in Markets Surveillance where I can contribute to a successful and reputable organization. Superior knowledge of Equities and Options and Fixed Income markets, as well as trading, operational risk, surveillance, anti-money laundering and advisory. Experienced professional with the ability to interface with all aspects of the business to provide solutions and improve processes. Knowledgeable Markets Surveillance professional with proven history of leading high-performing teams and executing strategic initiatives that drive organizational growth. Successfully directed cross-functional projects that resulted in significant process improvements and operational efficiencies. Demonstrated leadership and communication skills in fostering collaborative environments and delivering impactful results. KEY SKILLS: • Netx360 • Bloomberg • ION Fidessa • Actimize • Smarts • Excel • Power Point • Reg NMS • Reg SHO • Reg SCI • 605/606 • 153C-5 • Team Management
Equity Trade Surveillance Compliance Officer
• Leading a team of 4 consultants Performing Risk Assessment for the NY Branch. • Utilizing SAS AML platform to Perform Enhanced Due Diligence Lookback.
Point person for all exchanges regarding order issues. Worked closely with regulatory managers to ensure compliance with regard to price fluctuation and erroneous filings. Managed the resolution of order issues in the Algorithms and Smart Order Router.