Experienced Compliance Officer, Senior Project/Product Manager with expertise in designing strategy and implementing strong Best Practices in accordance with SEC-FINRA-CFTC-NFA Rules for swaps, fixed income, commodities and equity/option instruments. Skills include Market Access Rule- Trade ...
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Experienced Compliance Officer, Senior Project/Product Manager with expertise in designing strategy and implementing strong Best Practices in accordance with SEC-FINRA-CFTC-NFA Rules for swaps, fixed income, commodities and equity/option instruments. Skills include Market Access Rule- Trade Surveillance, Annual Compliance Audits and AML Applications.
Developed and Authored firm policies and procedures. Implemented front/back office systems to support organizational productivity to comply with global regulatory initiatives.
Conduct risk management/assessment reviews in accordance with regulatory requirements, for Brokers-Dealers, RIA's and Hedge Funds.
Contributor to major Industry publications on new regulatory developments. SIFMA-FIA and STA Panelist.
Co-founded, a successful Independent Consulting Company to work with Broker/Dealers including other Market Participants. Conduct independent annual audits ie: AML and FINRA Rules 3110, 3120 and 3130 Certification. Among other regulatory requirements required by the regulators. Conduct on-site CE (continuing ed) Annual Training Programs.
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