Experience

SMBC Nikko Securities America, Inc.

• United States
• Investment Banking
• 200 - 300 Employee

• Compliance Consultant

  • Jul 2020 - Mar 2023

  Provided advice and guidance on various compliance and regulatory matters • Project lead on various Compliance efforts • Evaluated relevant processes for compliance with regulations; challenged and escalated identified risks/gaps; recommended solutions for identified gaps • Assisted in preparation of various reports e.g., CCO/3130 Annual Report, CCO Board of Directors Report of Top Risks, CE Needs Analysis and Training Plan • Assisted and advised on changes to Compliance Policies… Show more Provided advice and guidance on various compliance and regulatory matters • Project lead on various Compliance efforts • Evaluated relevant processes for compliance with regulations; challenged and escalated identified risks/gaps; recommended solutions for identified gaps • Assisted in preparation of various reports e.g., CCO/3130 Annual Report, CCO Board of Directors Report of Top Risks, CE Needs Analysis and Training Plan • Assisted and advised on changes to Compliance Policies and Procedures, WSPs and Desk Procedures Show less Provided advice and guidance on various compliance and regulatory matters • Project lead on various Compliance efforts • Evaluated relevant processes for compliance with regulations; challenged and escalated identified risks/gaps; recommended solutions for identified gaps • Assisted in preparation of various reports e.g., CCO/3130 Annual Report, CCO Board of Directors Report of Top Risks, CE Needs Analysis and Training Plan • Assisted and advised on changes to Compliance Policies… Show more Provided advice and guidance on various compliance and regulatory matters • Project lead on various Compliance efforts • Evaluated relevant processes for compliance with regulations; challenged and escalated identified risks/gaps; recommended solutions for identified gaps • Assisted in preparation of various reports e.g., CCO/3130 Annual Report, CCO Board of Directors Report of Top Risks, CE Needs Analysis and Training Plan • Assisted and advised on changes to Compliance Policies and Procedures, WSPs and Desk Procedures Show less



Global Compliance Risk Management Corp.

• Investment Management

• Managing Director – Broker Dealer Compliance Consulting

  • Feb 2020 - Jul 2020

  Global Compliance Risk Management Corp., is a strategic advisory and compliance risk management firm that offers financial market participants a comprehensive methodology for analyzing, addressing, and resolving compliance risks while providing tactical solutions that support business growth. Global Compliance Risk Management Corp., is a strategic advisory and compliance risk management firm that offers financial market participants a comprehensive methodology for analyzing, addressing, and resolving compliance risks while providing tactical solutions that support business growth.



ALLIA Consulting, LLC

• United States
• Business Consulting and Services

• SENIOR ADVISOR - SECURITIES BROKER DEALER COMPLIANCE

  • Feb 2020 - Jul 2020

  ALLIA Consulting is a results-oriented consulting practice providing business optimization services to growing financial services, professional services, and not-for-profit organizations. ALLIA Consulting is a results-oriented consulting practice providing business optimization services to growing financial services, professional services, and not-for-profit organizations.



HSBC

• United Kingdom
• Financial Services
• 700 & Above Employee

• Managing Director and Chief Compliance Officer

  • Jul 2015 - Jul 2018

  • Provided leadership and guidance regarding regulations, controls, monitoring and surveillance of business activities, training and education, policies and procedures. • Advised business partners on the application of relevant rules, regulations, policies and standards of conduct and best practices. • Provided direction on implementation of plans to address new or changed regulatory requirements. • Drove coordination and execution of various project work streams. • Interacted with… Show more • Provided leadership and guidance regarding regulations, controls, monitoring and surveillance of business activities, training and education, policies and procedures. • Advised business partners on the application of relevant rules, regulations, policies and standards of conduct and best practices. • Provided direction on implementation of plans to address new or changed regulatory requirements. • Drove coordination and execution of various project work streams. • Interacted with FINRA, Securities and Exchange Commission (SEC) and Federal Reserve (FRB). • Served as member, advisor and participant in various Governance Committees. • Evaluated effectiveness of compliance controls and recommend corrective action. • Reviewed and discussed the firm’s compliance efforts throughout the year and conducted annual meeting with CEO to address significant compliance issues and emerging risks. • Oversaw management of regulatory examinations, the drafting of responses. • Managed the preparation and presented reports to senior management, regulators and other stakeholders. Show less • Provided leadership and guidance regarding regulations, controls, monitoring and surveillance of business activities, training and education, policies and procedures. • Advised business partners on the application of relevant rules, regulations, policies and standards of conduct and best practices. • Provided direction on implementation of plans to address new or changed regulatory requirements. • Drove coordination and execution of various project work streams. • Interacted with… Show more • Provided leadership and guidance regarding regulations, controls, monitoring and surveillance of business activities, training and education, policies and procedures. • Advised business partners on the application of relevant rules, regulations, policies and standards of conduct and best practices. • Provided direction on implementation of plans to address new or changed regulatory requirements. • Drove coordination and execution of various project work streams. • Interacted with FINRA, Securities and Exchange Commission (SEC) and Federal Reserve (FRB). • Served as member, advisor and participant in various Governance Committees. • Evaluated effectiveness of compliance controls and recommend corrective action. • Reviewed and discussed the firm’s compliance efforts throughout the year and conducted annual meeting with CEO to address significant compliance issues and emerging risks. • Oversaw management of regulatory examinations, the drafting of responses. • Managed the preparation and presented reports to senior management, regulators and other stakeholders. Show less



MUFG

• Japan
• Financial Services
• 700 & Above Employee

• Executive Director and Deputy CCO - Compliance Group

  • Nov 2008 - Mar 2015

  I was responsible for: • Providing compliance advice to management, front, middle and back office staff in connection with broker dealer regulation and activities in Equities, Convertible Debt, Options, Credit, Rates, and Municipal securities, Capital Markets/Investment Banking, Securities Lending and REPO • Conducting annual continuing education "Needs Analysis", developing the "Firm Element" training plan and leading presentations of the Annual Compliance… Show more I was responsible for: • Providing compliance advice to management, front, middle and back office staff in connection with broker dealer regulation and activities in Equities, Convertible Debt, Options, Credit, Rates, and Municipal securities, Capital Markets/Investment Banking, Securities Lending and REPO • Conducting annual continuing education "Needs Analysis", developing the "Firm Element" training plan and leading presentations of the Annual Compliance Meeting. • Managing regulatory exams • Coordinating 3120/3130 review of Supervisory Controls, GAP analysis and Annual CEO Certification. I wrote, updated and advised on local policies and procedures (WSP, Compliance Manual, Desk Procedures, Policy Announcements, Dodd Frank and Volker Rule, etc.). I participated in standardization of the international and global affiliates' policies. I managed staff responsible for: • Providing advice concerning transaction reporting, upcoming rule changes and supervisory responsibilities. • Control Room – Wall Crossing, Watch and Restricted Lists, Personal Account Trading, Outside Business Activities/Interests • Transaction surveillance/Market Abuse • Responding to Regulatory Inquiries • Developing and implementing surveillance and supervisory exception reports relating to among other things Rule 15c3-5, Reg. SHO, Reg. M, Rule 2111, Reg. NMS, As-Ofs, Cancels and Corrects, Markups, Front Running, QIBs, Reg. S • Organizing and documenting Best Execution Committee Meetings • Monitoring 15a-6 cross border activities • Implementing and conducting monitoring reviews • Conducting Compliance and AML training for new employees • Conducting Soft Dollar Review Show less I was responsible for: • Providing compliance advice to management, front, middle and back office staff in connection with broker dealer regulation and activities in Equities, Convertible Debt, Options, Credit, Rates, and Municipal securities, Capital Markets/Investment Banking, Securities Lending and REPO • Conducting annual continuing education "Needs Analysis", developing the "Firm Element" training plan and leading presentations of the Annual Compliance… Show more I was responsible for: • Providing compliance advice to management, front, middle and back office staff in connection with broker dealer regulation and activities in Equities, Convertible Debt, Options, Credit, Rates, and Municipal securities, Capital Markets/Investment Banking, Securities Lending and REPO • Conducting annual continuing education "Needs Analysis", developing the "Firm Element" training plan and leading presentations of the Annual Compliance Meeting. • Managing regulatory exams • Coordinating 3120/3130 review of Supervisory Controls, GAP analysis and Annual CEO Certification. I wrote, updated and advised on local policies and procedures (WSP, Compliance Manual, Desk Procedures, Policy Announcements, Dodd Frank and Volker Rule, etc.). I participated in standardization of the international and global affiliates' policies. I managed staff responsible for: • Providing advice concerning transaction reporting, upcoming rule changes and supervisory responsibilities. • Control Room – Wall Crossing, Watch and Restricted Lists, Personal Account Trading, Outside Business Activities/Interests • Transaction surveillance/Market Abuse • Responding to Regulatory Inquiries • Developing and implementing surveillance and supervisory exception reports relating to among other things Rule 15c3-5, Reg. SHO, Reg. M, Rule 2111, Reg. NMS, As-Ofs, Cancels and Corrects, Markups, Front Running, QIBs, Reg. S • Organizing and documenting Best Execution Committee Meetings • Monitoring 15a-6 cross border activities • Implementing and conducting monitoring reviews • Conducting Compliance and AML training for new employees • Conducting Soft Dollar Review Show less



ITG

• United States
• Financial Services
• 400 - 500 Employee

• Director, Chief Compliance Officer

  • Apr 2005 - Nov 2008

  I was the Chief Compliance Officer for two affiliated broker-dealers and I supervised the CCOs of two additional affiliated broker dealers. I oversaw compliance programs for each U.S. BD including managing several seasoned compliance professionals assigned to cover: • TRF and OATS Reporting • REG NMS - trade through monitoring, latency analysis, Rule 605 & 606 reporting • REG SHO - affirmative determination, buy-ins, threshold securities • Best Execution reviews and Best… Show more I was the Chief Compliance Officer for two affiliated broker-dealers and I supervised the CCOs of two additional affiliated broker dealers. I oversaw compliance programs for each U.S. BD including managing several seasoned compliance professionals assigned to cover: • TRF and OATS Reporting • REG NMS - trade through monitoring, latency analysis, Rule 605 & 606 reporting • REG SHO - affirmative determination, buy-ins, threshold securities • Best Execution reviews and Best Execution Committee meetings • 3010/3012/3013 Supervisory Controls, Annual CEO Certification, GAP analysis • Soft Dollars, CSAs • DMA controls • Compliance audits, branch exams • Marketing materials review and approval, e-mail surveillance and supervisory controls review • Maintaining current Compliance Manuals and Department/Desk WSPs. • Registration Department, Form BD, U-4, U-5, Continuing Education • 15A-6 cross border activities • Surveillance including development of various exception reports. • AML Processes • SRO and SEC inquiries, Exams Show less I was the Chief Compliance Officer for two affiliated broker-dealers and I supervised the CCOs of two additional affiliated broker dealers. I oversaw compliance programs for each U.S. BD including managing several seasoned compliance professionals assigned to cover: • TRF and OATS Reporting • REG NMS - trade through monitoring, latency analysis, Rule 605 & 606 reporting • REG SHO - affirmative determination, buy-ins, threshold securities • Best Execution reviews and Best… Show more I was the Chief Compliance Officer for two affiliated broker-dealers and I supervised the CCOs of two additional affiliated broker dealers. I oversaw compliance programs for each U.S. BD including managing several seasoned compliance professionals assigned to cover: • TRF and OATS Reporting • REG NMS - trade through monitoring, latency analysis, Rule 605 & 606 reporting • REG SHO - affirmative determination, buy-ins, threshold securities • Best Execution reviews and Best Execution Committee meetings • 3010/3012/3013 Supervisory Controls, Annual CEO Certification, GAP analysis • Soft Dollars, CSAs • DMA controls • Compliance audits, branch exams • Marketing materials review and approval, e-mail surveillance and supervisory controls review • Maintaining current Compliance Manuals and Department/Desk WSPs. • Registration Department, Form BD, U-4, U-5, Continuing Education • 15A-6 cross border activities • Surveillance including development of various exception reports. • AML Processes • SRO and SEC inquiries, Exams Show less



Nomura

• Financial Services
• 700 & Above Employee

• Director, Equity Compliance

  • 2000 - 2004

  As Head of Equities Compliance and the Compliance Registered Options Principal I: • Maintained current written supervisory policies and procedures • Wrote 15a-6 policies and procedures • Wrote market making procedures - advised management in acquisition of BRASS & “Tools of the Trade” applications. • Advised Equity Operations / IT staff regarding regulatory reporting requirements (DPTR, TRACE, OATS and NYSE OTS). • Advised front office regarding sales literature… Show more As Head of Equities Compliance and the Compliance Registered Options Principal I: • Maintained current written supervisory policies and procedures • Wrote 15a-6 policies and procedures • Wrote market making procedures - advised management in acquisition of BRASS & “Tools of the Trade” applications. • Advised Equity Operations / IT staff regarding regulatory reporting requirements (DPTR, TRACE, OATS and NYSE OTS). • Advised front office regarding sales literature disclosures/disclaimers. Advised on 144A, Reg-S and 144 activities. • Advised research management regarding research disclosure issues. Pre-reviewed special situation research. • Developed and presented Firm Element training for Equity Division personnel. • Provided regulatory advice on proposed new equity businesses and trading strategies. • Created and Coordinated Best Execution Review Procedures. • Supervised “Chinese Wall” Control Room Process and Surveillance activities including development of exception reports. • Supervised handling and response to customer complaints, SRO, SEC and State regulatory inquiries. • Oversaw testing and acquisition of 3rd party vendors’ e-mail surveillance system. Show less As Head of Equities Compliance and the Compliance Registered Options Principal I: • Maintained current written supervisory policies and procedures • Wrote 15a-6 policies and procedures • Wrote market making procedures - advised management in acquisition of BRASS & “Tools of the Trade” applications. • Advised Equity Operations / IT staff regarding regulatory reporting requirements (DPTR, TRACE, OATS and NYSE OTS). • Advised front office regarding sales literature… Show more As Head of Equities Compliance and the Compliance Registered Options Principal I: • Maintained current written supervisory policies and procedures • Wrote 15a-6 policies and procedures • Wrote market making procedures - advised management in acquisition of BRASS & “Tools of the Trade” applications. • Advised Equity Operations / IT staff regarding regulatory reporting requirements (DPTR, TRACE, OATS and NYSE OTS). • Advised front office regarding sales literature disclosures/disclaimers. Advised on 144A, Reg-S and 144 activities. • Advised research management regarding research disclosure issues. Pre-reviewed special situation research. • Developed and presented Firm Element training for Equity Division personnel. • Provided regulatory advice on proposed new equity businesses and trading strategies. • Created and Coordinated Best Execution Review Procedures. • Supervised “Chinese Wall” Control Room Process and Surveillance activities including development of exception reports. • Supervised handling and response to customer complaints, SRO, SEC and State regulatory inquiries. • Oversaw testing and acquisition of 3rd party vendors’ e-mail surveillance system. Show less



Gruntal & Co.

• United States
• Financial Services
• 1 - 100 Employee

• Deputy Director

  • 1987 - 2000

  • Supervised oversight of Capital Markets compliance activities including debt, equity, options and commodities. • Established and developed policies and procedures. • Oversaw surveillance of proprietary, institutional and retail activities. • Supervised Control Room - Watch, Restricted and Pending Research Lists reviews. • Handled extraordinary regulatory investigations and supervised regulatory exams. • Supervised response to customer complaints and SRO, SEC and State… Show more • Supervised oversight of Capital Markets compliance activities including debt, equity, options and commodities. • Established and developed policies and procedures. • Oversaw surveillance of proprietary, institutional and retail activities. • Supervised Control Room - Watch, Restricted and Pending Research Lists reviews. • Handled extraordinary regulatory investigations and supervised regulatory exams. • Supervised response to customer complaints and SRO, SEC and State regulatory inquiries. • Prepared annual compliance report. • Developed and presented Firm Element of continuing education for Capital Markets personnel. Show less • Supervised oversight of Capital Markets compliance activities including debt, equity, options and commodities. • Established and developed policies and procedures. • Oversaw surveillance of proprietary, institutional and retail activities. • Supervised Control Room - Watch, Restricted and Pending Research Lists reviews. • Handled extraordinary regulatory investigations and supervised regulatory exams. • Supervised response to customer complaints and SRO, SEC and State… Show more • Supervised oversight of Capital Markets compliance activities including debt, equity, options and commodities. • Established and developed policies and procedures. • Oversaw surveillance of proprietary, institutional and retail activities. • Supervised Control Room - Watch, Restricted and Pending Research Lists reviews. • Handled extraordinary regulatory investigations and supervised regulatory exams. • Supervised response to customer complaints and SRO, SEC and State regulatory inquiries. • Prepared annual compliance report. • Developed and presented Firm Element of continuing education for Capital Markets personnel. Show less