Experience

MCO (MyComplianceOffice)

• United States
• Software Development
• 100 - 200 Employee

• Senior Presales Consultant

  • May 2023 - Present



Kerv

• United Kingdom
• IT Services and IT Consulting
• 100 - 200 Employee

• Americas Head of Sales, CCP (Via TDS Acquisition)

  • Jan 2022 - Apr 2023



Onna

• United States
• Software Development
• 1 - 100 Employee

• Enterprise Solutions

  • Mar 2021 - Dec 2021



Veritas Technologies LLC

• United States
• Software Development
• 700 & Above Employee

• Senior Account Manager (Via Globanet Acquisition)

  • Jul 2020 - Mar 2021



OpenText

• Canada
• Software Development
• 700 & Above Employee

• Senior Account Executive

  • Apr 2019 - Jul 2020



Veritone

• United States
• Software Development
• 200 - 300 Employee

• Sales and Solutions

  • Jan 2018 - Apr 2019



NICE Actimize

• United States
• Software Development
• 700 & Above Employee

• Presales Consultant

  • Sep 2017 - Jan 2018

  Engages with prospects and clients to understand technical and functional requirements needed to deliver business benefit of fraud-detection solutions. Provide key subject matter expertise for Financial Services fraud and be able to position detection solutions for specific banking applications. Work with customers to identify, develop, and implement fraud solutions to meet their goals and requirements. Work with sales and services to provide insight on customer challenges. Lead and participate in client business and technical engagements. Show less



NICE

• United States
• Software Development
• 700 & Above Employee

• Compliance Subject Matter Expert

  • Jul 2012 - Sep 2017

  Provide real time advice and guidance to the futures trading desks, operations and IT on compliance policies, procedures and regulatory requirements. Provide day-to-day advisory and transactional guidance with respect to futures trade issues. Review current business practices against specific regulatory requirements to ensure that any discrepancies are proactively identified and addressed. Act as a compliance advisor by providing business units with the interpretation and implementation of regulatory requirements as they pertain to business processes, policies and procedures. Liaise with business supervisors, legal and other divisions in determining risk and compliance impact on new business ventures/organizational structure changes. Work closely with Strategists, Technology and Developer Teams on implementations and improvements of trading strategies, models, ATS and business structure to make sure it's in compliance with rules and regulations (e.g. CFTC, NFA, CME, ICE etc.) Review and update the organization's policies and procedures and ensure alignment with the overall Compliance Management Program. Perform risk assessment and compliance of futures business and implement effective controls. Provide compliance guidance and Subject Matter Expertise during regulatory exams, audits and inquiries conducted by various regulators including CFTC, NFA and futures exchanges. Area of responsibility includes HFT trading, ETF's, Options Market Making (MM), Quantitative (QT) and algorithmic trading of QT Vol, QT Cash, and QT ETF desks as well as coverage of ETF Limited Market Making desk and back up coverage of NYSE Specialist unit. Work effectively and closely with Legal, Compliance and Business colleagues globally. Show less



SMF Trading, Inc

• New York, NY

• Chief Executive Officer, Chief Compliance Officer

  • Aug 2011 - Jun 2012

  Headed the discovery, filing, and FINRA approval for firm acquisition. Full authority for all firm decisions regarding the daily operations, regulatory issues, new hires, and new customer approval. Design, implement and responsible for all firm policies and procedures, including new account documents, AML & KYC procedures, electronic books and records retention, trade and new account reviews. Surveillance programs for both customers and employees to ensure all policies and procedures are being followed and are in compliance with all FINRA and SEC regulations. Show less



WTS PROPRIETRAY TRADING GROUP

• Chief Compliance Officer

  • Feb 2011 - Jun 2012

  Compliance officer and supervisor of CBOE member firm. Manage administration and compliance team. Working with and full knowledge of FINRA's Web CRD system. Ensure all associated people are in complete compliance with all registration requirements, AML/KYC, OFAC searches. Review and analyze risk requirements, profit and loss analysis. Handle all regulatory inquires and exams. Develop, Implement and supervise Firm policies and procedures to comply with all CBOE and SEC rules and regulations. Supervise automated documentation project to ensure books and records requirements. Show less



DERMOTT W. CLANCY, CORP

• Chief Financial Officer

  • Feb 2007 - Jan 2011

  Responsible for the maintaining of financial records and to the accuracy of all financial reports filed. Supervise firm personal for compliance with all NYSE, SEC, and FINRA rules and regulations. Responsible for the maintaining of financial records and to the accuracy of all financial reports filed. Supervise firm personal for compliance with all NYSE, SEC, and FINRA rules and regulations.



CLANCY FINANCIAL SERVICES, INC

• Chief Compliance Officer / General Securities Principal / Chief Financial Officer

  • Sep 2006 - Jan 2011

  Acting as CFO, compliance officer, and manager of FINRA member firm. Supervised projects with regards to development and implementation of Firm policies and procedures including AML/KYC. Accountable for all new account reviews and approvals, document reviews, AML/KYC, OFAC search tool, Web CRD reports. Responsible for educating employees on all aspects of Firm policies and procedures. Responsible for all FINCEN, SARS, and USA Patriot Act filings and notifications. Daily review of all electronic communications, such as e-mail and instant messaging. Daily monitoring of broker dealer activity, all aspects of back-office operations, i.e., daily trading allocations, confirmations, distributions. Ensure all operations are in compliant with FINRA rules and regulations. Show less



TSB SECURITIES, LLC

• Partner / Chief Financial Officer

  • Apr 2005 - Aug 2006

  Hold full autonomy for CFO, compliance officer, supervisor, and clerk operations of the New York Stock Exchange. Provide execution services on the New York Stock Exchange for institutional clientele. Handle all aspects of day-to-day operations, i.e., daily trading activities, order management, distributions, rollout of new products, flow of information, billing, budgeting, asset allocation/risk management, sales, marketing, new business development, customer relation management, and RTO. Ensure all operations are in compliant with NYSE, SEC and FINRA rules and regulations. Show less



CHARLES E. REHBERG

• Equity Trading Assistant / Head Supervisory Clerk

  • Sep 2003 - Apr 2005

  Traded stocks, bonds, futures and equities. Assessed all risk, i.e., trade, capital, and market sentiment risk. Researched corporate earnings, valuations, up/down grade analyst recommendations, performance indices, economic numbers/forecasts, and monitored news events. Supervised registered representatives, performed floor services, daily maintenance of trading desk, allocation of order flow, passing information between trader on desk and broker in crowd. Traded stocks, bonds, futures and equities. Assessed all risk, i.e., trade, capital, and market sentiment risk. Researched corporate earnings, valuations, up/down grade analyst recommendations, performance indices, economic numbers/forecasts, and monitored news events. Supervised registered representatives, performed floor services, daily maintenance of trading desk, allocation of order flow, passing information between trader on desk and broker in crowd.



RBC Capital Markets

• Canada
• Investment Banking
• 700 & Above Employee

• Equity Trading Assistant / Clerk

  • Jun 1999 - Sep 2003

  Daily communication between institutional sales traders and retail traders regarding orders and market information. Leveraged order flow to create more trading opportunities through indications and supers. Assisted traders with third market reporting and block positioning Daily communication between institutional sales traders and retail traders regarding orders and market information. Leveraged order flow to create more trading opportunities through indications and supers. Assisted traders with third market reporting and block positioning



JOSEPH SANGIMINO

• Clerk

  • Sep 1998 - Jun 1999

  Handled orders from multiple clients. Continuously reviewed executed orders and customer reports. Updated clients with accurate information throughout trading session Handled orders from multiple clients. Continuously reviewed executed orders and customer reports. Updated clients with accurate information throughout trading session