Experience

SMBC Nikko Securities America, Inc.

• United States
• Investment Banking
• 200 - 300 Employee

• VP, Senior Compliance Officer - Control Room

  • Apr 2022 - Present

  Performs core Control Room advisory and monitoring functions. This requires interacting with Debt Capital Markets (DCM), Equity Capital Markets (ECM), Investment Banking Group (IBG), Relationship Management Group (RMG) and Structured Finance Group (SFG). Assists in the continued enhancement of the Control Room and the build out of an expanded Control Room including policy and technology developments across the Americas Division. Liaises with EMEA and Tokyo Compliance and Research affiliates to ensure global consistency where necessary and/or desirable. Conducts personal securities trading monitoring (pre-clearance and review against WL and RL) and escalation of any issues. Responsible for reviewing potential client conflicts and liaising with the various businesses, as necessary, to resolve any real or perceived conflicts of interest. Serves as a key advisor to the business as well as other colleagues on issues regarding Information Barriers, wall crossing procedures, sensitive information, the Need-to-Know Principle. Maintain & update Watch List, Restricted List, and Research Quiet Period List. Management and facilitation of wall crossings. Reviews Research publications to ensure compliance with legal and regulatory obligations. Chaperones communications between Research and Investment Banking to ensure compliance with the Research Settlement. Provides advice and guidance to front office businesses in respect of permissible interaction with research analysts, pre-clearing permitted communications between them and chaperoning as necessary (Knowledge of the global research settlement).



Rental Properties

• United Kingdom
• Real Estate
• 1 - 100 Employee

• Principal

  • Jun 2016 - Present

  Owner of 2 SFR’s, two 3 family properties, one 2 family property, and 3 commercial properties. Expertise: -Real Estate Analysis -P & L Summaries (Monthly and yearly) -All aspects of a property acquisition and development -Experience with high profile clients needing consistent updating -Accomplished in acquiring bank-owned properties and short term rental properties -Skilled in financial presentation -Experienced Project Manager, led the development of 4 residential and 10 commercial projects -Microsoft & Google Suite -Excellent communication skills including new hire training and improvisational education -Strong Organizational Skills with the ability to handle multiple projects at once -Excellent relationship building skills and contacts within all divisions of Real Estate -Energetic project & property manager -Experienced in notes investing and foreclosures



Natixis CIB Americas

• United States
• Financial Services
• 200 - 300 Employee

• Vice President - Control Room & Conflicts

  • Dec 2018 - Apr 2022

  Control Room M&A Conflicts Advisory/Management Corporate & Investment Banking Compliance Manage Information Barriers Review Information Sharing Requests Provides tailored Employee Training on Conflicts, Info Barriers, and Control Room Maintain & update Watch List & Restricted List Watch & Restricted List Surveillance Management of wall crossings Control Room M&A Conflicts Advisory/Management Corporate & Investment Banking Compliance Manage Information Barriers Review Information Sharing Requests Provides tailored Employee Training on Conflicts, Info Barriers, and Control Room Maintain & update Watch List & Restricted List Watch & Restricted List Surveillance Management of wall crossings



Sia Partners

• Greater New York City Area

• Senior Consultant @ Natixis

  • Jun 2017 - Dec 2018

  Consulting project at Natixis within the Control Room. - M&A Advisory - Conflicts Management - Information Barriers - Employee Training - Control Room - Supervisory Reviews - Volcker Rule Consulting project at Natixis within the Control Room. - M&A Advisory - Conflicts Management - Information Barriers - Employee Training - Control Room - Supervisory Reviews - Volcker Rule



Oppenheimer & Co. Inc.

• Financial Services
• 700 & Above Employee

• Associate - Control Room

  • May 2015 - Jun 2017

  -IBD and Research Compliance -Outside Accounts Surveillance -Control Room -IBD and Research Compliance -Outside Accounts Surveillance -Control Room



Sporting News Media

• Freelance Writer

  • Feb 2015 - Oct 2015

  Freelance writer in the sports department. http://www.sportingnews.com/author/160-stephen-perez Freelance writer in the sports department. http://www.sportingnews.com/author/160-stephen-perez



RBC Capital Markets

• Canada
• Investment Banking
• 700 & Above Employee

• Compliance Analyst

  • Oct 2013 - May 2015

  Control Room -Employee Personal Trading -Employee Disclosures Control Room -Employee Personal Trading -Employee Disclosures



Credit Suisse

• Switzerland
• Banking
• 700 & Above Employee

• Analyst(Rotational Program) Listed Derivatives Advisory and Control Room

  • Nov 2012 - Oct 2013

  - Selected for a year long rotational program within the General Counsel Division 1st Rotation: Listed Derivatives Group - Coordinated with internal personnel in drafting and negotiating derivative agreements with clients by analyzing credit risk reports with a thorough understanding of the legal mechanisms - Liaised with relevant stakeholders to address any issues pertaining to futures agreements - Performed due diligence on 350+ potential clients to verify their eligibility for derivatives trading - Performed Legal Document execution 2nd Rotation: Control Room -Update Employee Personal Trading -Perform email reviews to ensure employees are not distributing information that is material non-public -Perform position limit checks on CS holdings to make sure the firm is not over the NOSH requirement -Verify and confirm employee disclosures through the Outside Interests system



Prudential Financial

• United States
• Financial Services
• 700 & Above Employee

• Summer Analyst

  • Jun 2012 - Aug 2012

  -Responsibilities included studying vendor management process to identify opportunities to enhance documentation and create presentation slides and email communications in support of the process -I designed an Excel database and consolidated vendor data in support of the vendor management process to ensure accurate consultant information available for use with new requisitions -I was responsible for taking accurate and meaningful meeting minutes; assembling information into useable documentation for the Vice President -I analyzed problem management data; identified trends and patterns; developed reports to effectively communicate patterns of severity one and two problems over a two year period



Westchester County

• Government Administration
• 700 & Above Employee

• Peace Officer

  • May 2010 - Nov 2011



Brooklyn District Attorney's Office

• Law Enforcement
• 700 & Above Employee

• Intern

  • Jan 2011 - May 2011



Cirillo & Francis & Cirillo Accounting Firm

• Briarcliff Manor, NY

• Intern

  • Jan 2009 - Jun 2009



State Farm

• United States
• Insurance
• 700 & Above Employee

• Office Assistant

  • May 2008 - Aug 2008