Todd Langdon
Chief Compliance Officer & Counsel at TeraExchange- Claim this Profile
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French Elementary proficiency
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Italian Elementary proficiency
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Spanish Elementary proficiency
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German Limited working proficiency
Topline Score
Bio
Credentials
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Admitted Attorney
New York State Bar AssociationApr, 2011- Sep, 2024 -
CrossFit Level 1 Trainer
CrossFit, LLC
Experience
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TeraExchange
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United States
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Capital Markets
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1 - 100 Employee
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Chief Compliance Officer & Counsel
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Aug 2022 - Present
Chief Compliance Officer and Counsel responsible for building and implementing a best in class Compliance framework across all Tera platforms. Implementing Trade Practice and Market Surveillance as well as an inquiry and investigations framework. Designing and building employee trading and conflicts of interest processes and procedures Giving in house Legal and Compliance advice related to company strategy and project/product implementation Filing trademark applications General legal work (contract/agreement drafting, C&D letters, Privacy Policy) Designing and implementing AML/KYC procedures Show less
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HSBC
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United Kingdom
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Financial Services
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700 & Above Employee
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SVP - Markets and Securities Services Compliance
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Jul 2018 - Jul 2022
Senior leader within Markets and Securities Services Compliance responsible for delivering global transformation projects and strategy initiatives as well as providing Compliance coverage and challenge to multiple business lines and control functions. • Executive responsible for delivery of Compliance Enhancement Actions and Corrective Action Plans under the FRB Consent Order and Deferred Prosecution Agreement • Accountable for Risk Stewardship and challenge of Actions delivered by other functions (Surveillance and Business) as part of the Consent Order and DPA programs • Risk Steward for the USD LIBOR transition program across multiple business lines; reviewing and challenging documents, project plans and status reports and participating in industry advocacy for regulatory changes and clarification • Responsible for Compliance commitments related to the global Trading Controls/Unauthorized Trading Remediation program in response to the PRA (UK) • Actively leads and participates in regulatory meetings and exams with the FRB and other regulators (FINRA, OCC, SEC) as well as with internal Audit and Assurance functions • Designed and implemented a formal risk stewardship framework for Surveillance • Accountable for Risk Assessment enhancements in response to an OCC MRIA which was delivered ahead of schedule • Responsible for Global Banking and Markets uplifts to the Risk Taxonomy which were completed ahead of schedule. • Markets Compliance lead for Securities Based Swap implementation program • Leads global risk strategy initiatives providing review and challenge on risk acceptance papers as well as paths to green for High and Very High-Risk issues • Leads a team of two onshore and nine offshore resources Show less
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Deutsche Bank
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Germany
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Financial Services
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700 & Above Employee
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Director - Global Treasury and Benchmarks Compliance Coordinator and US Head of Rates Compliance
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Jul 2016 - Jun 2018
Senior leader within US Markets Compliance. Primary point of escalation for Compliance coverage of the US Rates (including Treasuries and Swaps) and Municipals businesses. Also responsible for global compliance coordination of Treasury and Benchmark submissions.• Directly managed a team of five the US Rates and Munis businesses. Also responsible for seven staff globally in their roles related to Treasury and Benchmarks• 6-month STA in London with the EMEA Markets Compliance Team covering Treasury and Benchmarks and assisting in Fixed Income• Responsible for responses to Regulatory Inquiries and Exams, regularly interacted with FINRA, OCC, FRBNY, SEC, CFTC, FCA (UK) as well as internal Audit and Testing• Designed and implemented Global Antitrust Compliance Program• Active involvement in the design and implementation the Risk Assessment programs• Coordinated DB's global responses to internal and external events Show less
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Vice President - Senior Markets Compliance Officer
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Sep 2012 - Jun 2016
Senior member of the Markets Compliance team with primary responsibility for US Credit Sales and Trading and Municipal Capital Markets businesses. Also assisted in coverage of other areas falling within the purview of Fixed Income Compliance. Built, trained and managed a team providing Compliance advice to the Bank's front office businesses in Florida. Coverage areas included all aspects of both Public (Equities Sales and Trading, Listed and OTC Options, Swaps, Futures, Structured Products, FX, Securities Lending, Prime Brokerage, Research) and Private Businesses (ECM, DCM and M&A). Show less
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UBS
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Switzerland
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Financial Services
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700 & Above Employee
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Associate Director-Equities Compliance
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Mar 2011 - Sep 2012
Began as an Associate Director in Equities Surveillance before transferring to Equities Advisory where I was responsible for real time Compliance guidance to the firm’s cash sales and equity market making businesses. Began as an Associate Director in Equities Surveillance before transferring to Equities Advisory where I was responsible for real time Compliance guidance to the firm’s cash sales and equity market making businesses.
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Penson Worldwide, Inc.
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United States
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Investment Banking
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Compliance Trade Surveillance Officer
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Apr 2007 - Dec 2010
Worked closely with management, trading and compliance to identify and assess regulatory risks Worked closely with management, trading and compliance to identify and assess regulatory risks
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Education
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2007 - 2010
Texas A&M University School of Law
JD, Law -
1996 - 2000
Fordham University
BA, Political Science
Community
