Description
Summary of Qualifications I am a Compliance Analyst who investigates options & equities trades to identify trading anomalies, investigate potential violations, and ensure trading integrity. An expert on financial industry regulations, I analyze trading data, conduct UAT on surveillance systems, and implement compliance procedures. Regulatory Competencies SEC FINRA Trade Reporting Rules cross-border requirements Volcker Regulations SHO & NMS Market Access Rule Selected Accomplishments * Provided evidence of accuracy of surveillance protocols that convinced the SEC to allow self-regulation, instead of FINRA * Developed surveillance tool to target trades in violation of short sell regulations * Achieved 0% errors in proprietary software by analyzing surveillance data to identify flaws in system & collaborate with IT to remediate Accomplishments * Provided evidence of accuracy of surveillance protocols that convinced the SEC to allow self-regulation, instead of FINRA * Developed surveillance tool to target trades in violation of short sell regulations * Achieved 0% errors in proprietary software by analyzing surveillance data to identify flaws in system & collaborate with IT to remediate Intercontinental Exchange (ICE) 2011- 2017
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