James J. Delaney II

*** ******** **** / ***. ****., NJ 07676

Tel: 201-***-**** / E-mail: acdhg4@r.postjobfree.com

Website: www.marketstrategiesmgmt.com

SUMMARY:

Strong financial markets experience across the spectrum of asset classes

and instruments, both exchange traded and OTC, with notable achievements on

the buy and sell side as well as designing, implementing and managing major

technology initiatives. A deep understanding of markets combined with the

organizational skill to deliver strategic objectives including experience

in complying with Dodd Frank, the Volcker Rule, EMIR and Basel III

PROFESSIONAL AND BUSINESS HISTORY:

Market Strategies Mgmt., Inc, - President (Independent Consulting) - July

2013 to Present

Bolton LLC / Concept Capital Markets - Senior Vice President - January 2012

to July 2013

Gleacher & Company - Director - October 2010 to July 2011

Saratoga Capital Equity Structured Products - Vice President - January 2009

to July 2010

Market Strategies Mgmt., Inc, - President (Independent Consulting) -

February 2007 to January 2009

GFI Group - Vice President - May 2001 to February 2007

LibertyDirect - Vice President - January 2000 to December 2000

Market Strategies Mgmt., Inc, - President (Independent Consulting) - July

1995 to December 1999

Tamiso & Co - Managing Director - January 1992 to July 1995

Barclays Bank PLC - Vice President - August 1989 to January 1992

Drexel Burnham Lambert - Vice President - July 1987 to August 1989

EXPERIENCE:

Market Strategies Mgmt., Inc. Independent Consultant, NJ

7/13 - Present

Business Analysis/Project Management

Engaged by Bolton LLC

. Provide business planning, product development and risk management

expertise to the investment and alternative investment community.

. Provide business analysis and project management expertise for technology

initiatives.

. Analyze investment strategies to determine merit for inclusion to

existing platform.

Bolton LLC / Concept Capital Markets, CT

1/12 - 7/13

Business Analysis/Project Management

. Managed the formation of a proprietary trading joint venture between

Bolton LLC and Concept Capital Markets including coordination of all

legal, regulatory, trading, FX, risk management and operations components

necessary to complete JV that generated $2,000,000 in revenue.

. Managed compliance with Section 619 of the Dodd Frank Act. (Volcker Rule)

including: Scope of financial instruments traded, Market Making, Risk

Mitigating Hedging, Risk and Position Limits, Risk Factor Sensitivities,

VaR, Option Greeks, P&L Attribution, Inventory Aging & Turnover, Customer

Facing Trade Ratio and Covered Funds including all provisions.

. Provide working understanding of DTCC reporting messages.

. Obtained legal opinion from outside counsel to ensure that all facets of

JV were in compliance with Dodd Frank, SEC and FINRA Regulations.

. Gathered requirements, produced BRD and FRD and implemented front to back

end trading platform for ADR/Ordinaries trading including FX risk.

. Gathered requirements, produced BRD and FRD and implemented risk

management protocols for VaR and tail risk on Rev/Con book.

. Developed and implemented Excel spreadsheets to analyze relative merits

of Listed Options vs. Stock Loan to generate long/short trade ideas for

stock loan opportunities.

. Developed and implemented filters on Bloomberg for listed options

universe based on volatility, skew and rate of change to generate

long/short trade ideas for stock loan opportunities.

. Developed and implemented tools to use CDS markets to generate long/short

trade ideas for stock loan opportunities.

Gleacher & Company Director, Equity Structured Products, NY

10/10 - 7/11

Business Analysis/Project Management

. Arranged the transition of the Saratoga team to Gleacher & Company.

. Traded and marketed multi-currency equity and equity derivative

products/strategies to hedge funds, asset managers, pension funds and

insurance companies that generated $3,000,000 in revenue

. Consulted with In-House counsel to make sure all facets of Dodd Frank and

proposed Volcker rules were adhered to.

. Gathered requirements, produced BRD and FRD and implemented quantitative

and analytical tools to evaluate trading strategies and portfolios,

measure and monitor VaR and tail risk, screen for trading opportunities,

pricing trades/strategies and trade execution.

. Business was started as a result of the passage of the H.I.R.E. Act in

2009, parts of which proposed to do away with the Equity Total Return

Swap market.

Saratoga Capital Equity Structured Products - Sales and Trading, NY

1/09 - 8/10

Business Analysis/Project Management

. Traded and marketed multi-currency equity and equity derivative

products/strategies to hedge funds, asset managers, pension funds and

insurance companies that generated $3,000,000 in revenue

. Consulted with 3rd party compliance consultant to make sure all facets of

Dodd Frank and proposed Volcker rules were followed.

. Gathered requirements, produced BRD and FRD and implemented quantitative

and analytical tools to evaluate trading strategies and portfolios,

measure and monitor VaR and tail risk, screen for trading opportunities,

pricing trades/strategies and trade execution.

. Business was started as a result of the passage of the H.I.R.E. Act in

2009, parts of which proposed to do away with the Equity Total Return

Swap market.

Market Strategies Mgmt., Inc. Independent Consulting, Investment

Strategist, NJ 2/07- 1/09

Investment Strategy

. Credit Equity Correlation (CEC) Strategy - Created profitable trading

strategy using information from Credit Default Swap market to trade

equities.

. Implemented systematic risk management for CEC Strategy

Strategy Engagements - Saratoga Capital, Collins Stewart

. Wrote and distributed daily Credit Market Overview commentary

Money Management - Delta Force Capital Management

. Credit Equity Correlation (CEC) Strategy - Created profitable trading

strategy using information from Credit Default Swap market to trade

equities.

Generated 4% return during 2008 on sub-account using CEC

Strategy. (performance available)

GFI Group Equity Derivatives, NY 5/01 - 2/07

Manager OTC/Structured Equity Products

. Managed staff of 6 on multi-currency OTC/Structured Products desk

brokering: Variance Swaps, Total Return Swaps, Hedge Fund Linked

Derivatives, Equity Default Swaps, Exotic Options

. Gathered requirements, produced BRD and FRD and implemented quantitative

and analytical tools to evaluate cross asset pricing between OTC products

and exchange traded alternatives.

. Led Cross Asset Correlation (CAC) initiative analyzing Credit Default

Swap (CDS), Equity and Listed Options markets for correlated movements

that generated $5,000,000 in revenue

Market Strategies Mgmt., LLC. CTA, CPO for Global Diversified LLC, NY

2002 - 2003

Principal

. Formed CTA and CPO and registered same with CFTC

. Conducted research on the construction of trading models used to

speculate in the commodities and futures markets including FX, Rates,

Precious Metals and Agricultural contracts.

LibertyDirect, e-Commerce division of Tullet & Tokyo, Liberty, NY

1/00 - 12/00

Vice President, Sales, Customer Service

. Instrumental in the successful implementation and launch of LibertyDirect

(TTL's electronic Trading system).

. Established, trained and managed a team of 15 sales professionals and e-

brokers.

. Responsibilities of the group included:

. Built daily trade volume to $5 billion per day

. Designed and instituted operating procedures, authored Operating

Procedures Manual

Market Strategies Mgmt., Inc., NY 7/95 - 6/98

President (Independent Management Consulting Firm)

Business Analysis /Project Management

. Provided market, trading and advanced technology expertise to major

financial institutions

. Provided expertise in the area of risk and position management

. Gathered requirements, produced BRD and FRD and implemented B2B

electronic trading platform for U.S. Treasuries

Engagements:

Tullet & Tokyo, Liberty 5/97 - 12/99

. Gathered requirements, produced BRD and FRD for an electronic bond

trading system which became LibertyDirect, including trading protocol

rules and user-interface design

. Managed build of electronic bond trading system including

quote management and trade reporting functionality.

Dow Jones Markets 5/97 - 6/98

. Gathered requirements, produced BRD and FRD and implemented B2B

electronic trading platform for U.S. Treasuries

Deutsche Bank 7/95 - 5/97

. Gathered requirements, produced BRD and FRD for electronic

interface with London Stock Exchange including full market-

maker quote management and trade reporting functionality used

during $13.8BN IPO of Deutsche Telecom

. Managed build of electronic interface with London Stock

Exchange including full market-maker quote management and

trade reporting functionality used during $13.8BN IPO of

Deutsche Telecom

. Gathered requirements, produced BRD and FRD for a globally

networked multi-currency front-end equity trading system with

live back end settlement system

. Supervised installation of a globally networked multi-currency

front-end equity trading system with live back end settlement

system

Tamiso & Company, NY 1/92 - 7/95

Managing Director (Investment Management Company)

. Conducted research on the construction of trading models used to

speculate in the commodities, futures, foreign exchange and related

options markets with annual returns of 18%

. Devised and implemented marketing plan covering all aspects of sales and

marketing in U.S. and Asia

. Member, Board of Directors, Futures Industry Association Research

Division 1993, 1994, 1995

Barclays Bank, NY 8/89 - 1/92

Chief Dealer Interest Rate Options

Drexel Burnham Lambert, NY 7/87 - 8/89

Corporate Bond Trader

EDUCATION:

Pace University - Financial Management, MBA

Montclair University - Economics, BA

TECHNICAL SKILLS:

Software Applications: SDLC, MS Project, Microsoft Office Suite

(Word, Excel, PowerPoint, Outlook, Sharepoint, Visio), SQL

Vendor Systems: Bloomberg Tradebook, Wolverine Execution Services (WEX),

REDI Plus, ACT, Reuters, Brass, FIX

OTHER:

REGISTRATIONS: Series 24, 7, 63, 55, 3

APPEARANCENCES: CNBC Fast Money, May 1, 2009, May 15, 2009

QUOTES AND PUBLICATIONS: Regular contributor to Seeking Alpha, Talk Markets

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