Experience

Aquis Exchange PLC

• Head of Market Supervision

  • Nov 2013 - Present

  The Head of Market Supervision is responsible for the surveillance and quality control verification of all market activity on the Aquis exchange. Other responsibilities include: • Primary authority on the determination and reporting of market and / or transaction abuse to the regulator; • Devise and in-conjunction with the development team implement additional alerts and enhancements in the surveillance system to cover new market and trading issues; • Management of Aquis surveillance policies and procedures; • Maintain and develop appropriate management information tools in order to present the findings of the monitoring and surveillance work undertaken, identifying trends and highlighting particular areas of concern; • Responsible for any surveillance aspects emanating from all external and internal service requests. • Assist the Head of Regulation with identification of regulatory issues impacting transaction authorisation, structure, execution and marketing with the provision of potential solutions and / or alternatives if required. • Responsible for training of new starters to the surveillance team and subsequent ongoing training and development



Liquidnet Europe

• United Kingdom
• Financial Services
• 1 - 100 Employee

• Head of Surveillance EMEA

  • May 2011 - Nov 2013

  • Lead and develop the Surveillance team’s daily operations in line with sound industry practice and ensuring Liquidnet’s compliance with FCA Code of Market Conduct and applicable ESMA guidelines etc. • Escalating potential market abuse for review and determining potential referral to the FCA or other regulators • Develop and maintain a strong relationship with the FCA Market Conduct and Transaction Monitoring Unit teams through pro-active interaction with relevant FCA representatives • On-going critical evaluation of monitoring systems, processes and procedures to ensure all market monitoring procedures are fit for purpose and up-to-date with any new Liquidnet initiatives, market developments and regulatory changes • Participate in the conducting of the firm’s annual Compliance Audit • Member of Liquidnet’s Audit and Risk and Compliance Committee • Participate in any regulatory reviews e.g. Arrow Visits • Respond to requests for information from regulators • Contribute to the firm’s responses to FCA and European consultation papers on the Market Abuse Directive and other relevant legislation and rules



Chi-X Europe Ltd.

• United Kingdom
• Financial Services
• 1 - 100 Employee

• Senior Market Supervisor

  • Oct 2008 - May 2011

  Working within Chi-X Europe's Market Supervision function and reporting to Chi-X Europe’s Director of Regulation. Responsible for ensuring that transaction related activity on Chi-X is monitored effectively and with a view to detection of breaches of the Chi-X rule book; disorderly trading conditions; and conduct that may involve market abuse as outlined within the FCA’s code of market conduct. Working within Chi-X Europe's Market Supervision function and reporting to Chi-X Europe’s Director of Regulation. Responsible for ensuring that transaction related activity on Chi-X is monitored effectively and with a view to detection of breaches of the Chi-X rule book; disorderly trading conditions; and conduct that may involve market abuse as outlined within the FCA’s code of market conduct.



NYSE Euronext LIFFE

• Product Manager

  • Jul 1990 - Jun 2008

  Various roles that included the following: •Managing a team of LIFFE Market Services analysts that were responsible for trade monitoring of the Commodities and Indices product suite to ensure compliance with the relevant Rules, Regulations and Trading Procedures of the Exchange. •Manager of the Customer Management team created and designed to provide an innovative and dynamic team to act as a point of contact and expertise for both external clients (including brokers, traders, ISV’s etc) and other departments within Euronext.Liffe. • Senior Observer on LIFFE trading floor actively observing Financial/Equity/Commodities Futures and Options contracts assisting with the daily running of the pit and managing a team of Observers