New York City Metropolitan Area
I am a Financial Compliance and Risk Management executive with deep experience across global markets, surveillance analytics, and regulatory governance. With a background in Fixed Income and Foreign Exchange, and more than two decades of front‑office trading leadership, I bring a strong blend of market knowledge, risk insight, and team leadership to building effective surveillance frameworks. As Senior Vice President at Citigroup, I lead the NAM FICC Trade and Communications Surveillance teams, and serve as the firm’s Fixed Income Surveillance SME. I oversee the design and enhancement of global surveillance programs—including U.S. Treasury Auction Manipulation, Fixed Income Spoofing, Fair Pricing, Wash Trading, Insider Trading, Parking, Foreign Exchange, Commodities, and Futures — incorporating artificial intelligence, behavioral and rules‑based analytics. My work also includes MAR‑MiFID II remediation, model development, QA oversight, and managing regulatory inquiries across U.S. Governments, Corporates, Derivatives, Equities, and FX. Before Compliance, I spent many years as a Head Trader, Portfolio Manager, and Proprietary Trading leader at major institutions including JP Morgan, Citigroup, Daiwa, Glickenhaus and Co., Graham Capital, and Auriga. I built and led three global proprietary trading groups, managed multi‑billion‑dollar U.S. Rates and Sovereign portfolios, and consistently delivered strong returns using directional, relative‑value, yield‑curve, and algorithmic strategies. I’m known for bridging regulatory, technical, and market perspectives; developing high‑performing teams; and delivering practical solutions to complex risk challenges. I hold an MBA in Finance from Pace University, a BA in Economics from Rutgers University, and a FINRA Series 7 license. If you’re interested in discussing surveillance innovation, FICC markets, regulatory trends, or leadership in complex organizations, feel free to connect.
NAM Manager, Fixed Income, Commodities, and Currencies Trade & Communications Surveillance • Provides ongoing, objective oversight of Compliance, Surveillance and Operational Risk management activities in adherence to firm programs and policies • Conducts independent review and challenge of the FICC Surveillance processes for adherence to the firm's Quality Assurance program standard • Global Lead G10 Rates, Sovereign & Supranational Marking the Close, Rates Spoofing, and End of Month Parking Surveillance Enhancements • Conceived and Led a fair pricing Global Surveillance Solution for US Treasury and Sovereign Debt reference pricing • Spearheaded U.S. Treasury Auction Manipulation, Fixed Income Spoofing, Insider Trading, and Wash Trading features-based surveillance CAP builds and enhancements • Led NAM response to a Global Central Bank Fair Pricing Threshold Validation CAP • Authored and Led FRB Covid-19 Fixed Income Market and Product Review • Conceived and implemented FI Parking Dual Perspective Scenario Enhancement • Global Lead FI Wash, Painting the Tape and Prearranged Trading Enhancement • Identified and led the remediation of an unannounced business Treasury Auction process change, mitigating risk and ensuring compliance • Inquiry response related to US Governments, Corporates, Derivatives, Equities, Commodities and FX
Portfolio Manager and Proprietary Trader of cash US Treasuries and related Derivatives - Independently managed $3B US Rates cash, futures and options book for a large broker-dealer. Implemented directional, relative value and yield curve strategies
Portfolio Manager and Proprietary Trader of US Treasuries and Sovereign Fixed Income markets - Implemented credit, directional, relative value, and yield curve strategies - Produced 75% and 40% ROR in 2009 and 2010 respectively - Managed a $4B arbitrage book - Raised capital for, launched and managed the Fixed Income Proprietary Trading Desk - Implemented risk and regulatory management systems
Portfolio Manager - Partnered in the management of a $300B securities lending portfolio - Individually managed $75B in separately managed accounts - Senior Risk Committee member
Portfolio Manager and Proprietary Trader - Managed US and Sovereign Fixed Income directional strategies, relative value arbitrage, option combinations & volatility views - Managed Equity and Commodity strategies