– Rule mapping of US exchanges and regulations against the policy framework of a US broker dealer subsidiary of a large global bank, which included intersecting policies and procedures with the international regulations of that bank
– Regulatory change audit engagements, as well as the audit of branch compliance for a major global bank.
– Two engagements developing a rational matrix for SEF rule compliance across all products
– Two major bank IBOR transition programs.
– Organizational mapping and tasking of regulatory change across all US fixed income, currency, and swap regulators and exchanges
– A complete re-write of broker dealer equity options policies, procedures and controls
– Developed the correct approach and execution compliance of a foreign affiliate’s policies in line with SEC 15a-6.
– Development of policies procedures and controls for automated trading.
– Management of a multinational team working to deliver the regulatory, technical, and market control requirements to bring a dealer into compliance with US Prudential Swap Margin Rules.
– Designed, built and participated in a client communications approval process, including approval of all research and strategy into the US for a global financial services firm.
Regulatory Compliance for the Financial Services Industry