Experience

OTC Markets Group

• United States
• Financial Services
• 1 - 100 Employee

• CTO

  • Nov 2017 - Present

  OTC Markets Group Inc. (OTCQX: OTCM) operates the OTCQX® Best Market, the OTCQB® Venture Market, and the Pink® Open Market for 10,000 U.S. and global securities. Through OTC Link® ATS, we connect a diverse network of broker-dealers that provide liquidity and execution services. We enable investors to easily trade through the broker of their choice and empower companies to improve the quality of information available for investors. OTC Markets Group Inc. (OTCQX: OTCM) operates the OTCQX® Best Market, the OTCQB® Venture Market, and the Pink® Open Market for 10,000 U.S. and global securities. Through OTC Link® ATS, we connect a diverse network of broker-dealers that provide liquidity and execution services. We enable investors to easily trade through the broker of their choice and empower companies to improve the quality of information available for investors.



Convergex

• United States
• Financial Services
• 100 - 200 Employee

• Managing Director ► Technology Direction ♦ Project Management ♦ Culture Development ♦ FinTech

  • 2000 - Jun 2017

  Convergex is an agency-focused global brokerage and trading related services provider that is solving the financial industry’s toughest challenges. During my time with Convergex, I have had the following roles: ♦ Managing Director – Head of the Strategic Application Development Group (2003 – Present) ♦ Head of Quality Assurance (2009 – Present) ♦ CTO of ConnEx (2011 – 2016) ♦ Senior Vice President - GTMS Development Manager (2000 – 2002) As CTO of ConnEx, a subsidiary of Convergex, I drive the technical direction for this managed services provider. Constantly analyzing all aspects of the architecture, development, and QA, I build the strategies and practices that ensure efficiency, cost-effectiveness, and innovations. . As Managing Director for the Strategic Application Group, I lead all strategic development, and technical product and project management. From front, middle and back office technology solutions, including Risk Management, Compliance, Buy Side to Sell Side connectivity strategy innovations, and performance management reporting initiatives. Leading the QA department and the SDLC process, I utilize QA automation tools including various reporting portals developed to track the performance of the development and the QA teams. The tools help reduce the number of rollbacks, bugs, and other QA issues. Instilled new processes and procedures within development and QA departments, allowing for more transparency and lower defect counts. A Sampling of Projects: ► Real Time Multi-Currency Risk and Credit Monitoring: A very mature multi-asset, multi-currency credit and risk monitor built internally and sold to other Sell Side firms. ► Real Time Domestic and International Compliance Monitoring: Industry-leading system used to detect activities such as layering, spoofing, and wash sales. ► FIX Gateway: Built the entire FIX Gateway infrastructure and teams with 2,000+ FIX connections and proprietary messaging feeds. Show less



Global Trade Management Systems

• EVP – Application Development ► Technology Leader ♦ Strategic Planning ♦ Entrepreneur

  • 1999 - 2000

  Global Trade Management Systems was a consulting company developing enterprise-wide applications for the securities industry that was sold to ConvergEx in 2000. I was one of the founders. I directed large-scale projects harnessing emerging technology and forward-thinking strategies to deliver new innovations in financial services applications. Working closely with developers and managers, I provided the leadership that engaged staff and leveraged talent. A Sampling of Projects: ► Windows International Basket Trading System: A real-time Windows international equity basket trading system using n-tier architecture to support the brokers GSTP requirements. ► Broker Clearing File Transfer System: A clearing file transfer system for a large broker dealer that facilitated the transfer of ADP bookkeeping and SWIFT Agent Bank information to the correspondents. Show less



F.I.R.M. Solutions, Inc.

• Greater New York City Area

• Partner ► Technology Leadership ♦ Strategic Partnerships ♦ Software Development ♦ Entrepreneur

  • 1992 - 2000

  F.I.R.M. Solutions consulting company specialized in architecting and developing front, middle, and back office systems for the securities industry. Clients included: State Street, Republic Bank, BHF Securities, Alpine Securities, Serfin Securities, and other broker dealers. Technically managed the direction of large‑scale projects and direction of the company. Working on specific projects, I built an extensive knowledge of international multi-currency systems. A Sampling of Projects: ► International Equity Basket Trading System: System interfaced with numerous markets and back office systems and was used to manage over $4B in equities per year. ► In-House Accounting & Operations System: Multi-currency, multi-instrument system for a major Latin American international trading house processing and clearing thousands of trades per day. ► Prime Brokerage Affirmation System: For a domestic securities firm, the application matched street records of a back-office system (ADP) to DTC ID confirms received for prime brokerage customer trading activity. Show less