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 ...more

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.less