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Work Background
21SharesHead of Compliance
Apr. 2024New York City Metropolitan Area
ForgeVP, CCO - Brokerage & RIA
Oct. 2022 - Mar. 2024New York, New York, United Stateshttps://forgeglobal.com
CartaChief Compliance Officer (CartaX)
Jul. 2022 - Oct. 2022New York, New York, United Stateshttps://carta.com/x
CartaDeputy CCO (CartaX)
Mar. 2022 - Jun. 2022New York, New York, United Stateshttps://carta.com/x
BovillManaging Consultant
Feb. 2020 - Feb. 2022Greater New York City Areahttps://www.bovill-newgate.com | included one-year as Sr. Compliance Officer at the crypto exchange INX https://www.inx.co/
CadreSenior Compliance Officer
May. 2018 - Jan. 2020Greater New York City Areawww.cadre.com
ACA Compliance GroupSenior Principal Consultant
Nov. 2014 - May. 2018New York, NYFocused on large diversified-financial firms with IA, BD, IC and NFA components, but also a full range of private funds (equities, credit and PE/RE). Assisted these firms with project-based work, the design and implementation of compliance policies and procedures stemming from this work, and also the transition to ACA Technology products as requested (e.g. OMS, trade surveillance, marketing materials workflows, etc.). Traveled on-site to client offices extensively to conduct mock examinations, which included forensic testing, analysis of findings, and written reports. Assisted clients with analysis and remediation of findings resulting from regulatory examinations, or preparing for an upcoming exam (including on-site exam support). Also tasked with staying abreast of regulatory developments, keeping clients up-to-date on the issues, and speaking at industry conferences and educational webinars sponsored by ACA.
NRS - National Regulatory ServicesConsultant, RIA-BD Services
Jun. 2012 - Nov. 2014New York, NYAssisted RIAs (concentration on private funds, including long-short equities, credit and PE/RE) and BDs with the design and implementation of compliance policies and procedures satisfying rule requirements and industry best practices. Traveled on-site to client offices extensively to conduct mock examinations, which included forensic testing, analysis of findings, and written reports. Assisted clients with analysis and remediation of findings resulting from regulatory examinations, or preparing for an upcoming exam. Also tasked with staying abreast of rule changes and regulatory developments, keeping clients up-to-date on the issues, and speaking at industry conferences and/or educational webinars sponsored by NRS.
Goldman SachsFranchise Manager, Equity Derivatives Trading
Sep. 2011 - Apr. 2012New York, NYDrive business-related projects for a high-paced, results-oriented trading desk that specializes in both listed and over-the-counter options. Identify, analyze and spec out opportunities to gain market share, trade new products, reduce costs, and operate the business at a higher efficiency level. Build cross-divisional consensus among key stake-holders to a project, including legal, compliance, operations, treasury and business. Provide data analysis to senior business leaders. Create, plan, and carry out presentations based on this analysis. Provide daily operational support to the desk, including expense management, contract analysis, and document retention.
Woodlawn Advisors LLCCCO
Dec. 2008 - May. 2011Stamford, CTSole legal & compliance professional on-site for this boutique equity derivatives Broker-Dealer. Hired at inception, took the firm through the initial FINRA New Member Application process and subsequent FINRA Audit. Wrote the firm’s Written Supervisory Procedures, Employee Handbook, and all additional policies and procedures. Responsible for day-to-day compliance needs: review of e-communications, marketing materials, exception reports, outside business activities, personal trading, G&E. Handle CRD maintenance for the firm: Forms U4, U5 and BD. Responsible for training of all firm employees. Liaison for outside counsel.
XE Capital ManagementSenior Associate to CCO
Apr. 2006 - Oct. 2008New York, NYCharged with the implementation and review of the compliance program for this $1B structured products hedge fund. Responsibilities included the review of fund allocations, personal trading, e-communications, marketing materials, outside business activities, G&E. Created and tested the Compliance Manual and Code of Ethics. Maintained and updated the Form ADV/ADV II, and maintained the firm’s IARD account. In 2007, participated in a mock SEC audit of the firm’s RIA, and the dissolution of the firm’s BD. Supported internal counsel with the review and negotiation of deal documents such as Operating Agreements and Note Purchase Agreements. Liaised with outside counsel.
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