Manager Project

Sean Ristau

Manager- North America Trading Operations & Capital Markets Consulting Group

*******@*****.***

Summary

Manager- North America Trading Operations & Capital Markets Consulting Group. Currently I am focusing

custom trading solutions both back and front end based. Design and implement testing architectures, integrating

automation testing software, proprietary products, and client systems

Perform day to day Trade Support Operations; Tier 1-3; manage support escalation

Liaison to Exchange and Vendors Relationships. Onsite Trade Support interacting directly with business,

development, sales, and customs. Oversaw project management of 2-3 projects at any one time. Implement and

support trading systems for 3rd party clients; maintain a follow the sun model.

Heavily involved with Swap Execution Facility(SEF)( Particular focus on Interest Rate Swaps, Non Deliverable

Forwards, Central Limit Order Book, Repos, CDS, and MBS) design along with Dodd/Frank Regulation

implementation. The Professional Services team at Greenline delivers solutions to organizations across the

implementation lifecycle for electronic trading and connectivity, with a focus on FIX Protocol. Service

offerings include advisory, advanced solutions, custom application development, and process consulting. In

total, I bring over 14 years of progressive capital markets focused delivery and consulting. I have experience

across Canadian, Asian, US, and European based clients.

Specialties: Capital Markets Project Management, FIX Protocol, Software Testing/Certification, Best Practices

Advisory, OMS Software, Currency Trading, Algorithmic Trading, Equities, Options, Futures, Fixed- Income,

SEF, Dodd/Frank, FX, Low Latency. Analysis/Monitoring, US Treasuries, Asian and European Markets.

Portware, IRESS, TCM, ORC, Appia, NASDAQ OMX TRF, OATS, QuickFIX, Trading Technologies X

Trader, Reuters, Bloomberg, Interactive Brokers, PATS Pro Mark, GL Trade, Advent Moxy, and TradeStation.

Experience

Manager- North America Trading Support & Capital Markets Consulting Group at Greenline

Financial Technologies

December 2009 - Present (3 years 6 months)

Providing Trading Support & Capital Markets Consulting Solutions Globally

Manager- North America Trading Support & Capital Markets Consulting Group for Greenline Financial

Technologies based in Chicago, IL.

With over 14 years experience in the Capital Markets sector, I have had the great opportunity to be involved

in a variety of different projects. My main territory currently is North America however I have done a variety

of projects in the US, Europe and Asia Pacific region. I have profound experience with FIX Protocol, Veritian

tradeR, FlexTrade, Streambase, OptionsXpress, Portware, IRESS, TCM, ORC, Appia, NASDAQ OMX TRF,

OATS, Cameron, UL LINK, QuickFIX,TT X Trader, Reuters, Bloomberg, Interactive Brokers, PATS Pro

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Mark, GL Trade, Advent Moxy, TradeStation, and a variety of custom capital market solutions.

Activities include:

- Design and implement testing architectures, integrating automation testing software, proprietary products,

and client systems

- Perform Trade Support Operations; Tier 1-3; manage support escalation

- Liaison to Exchange and Vendors Relationships

-Onsite Trade Support interacting directly with business, development, sales, and customs

-Oversee project management of 2-3 projects at any one time

-Implement and support trading systems for 3rd party clients; maintain a follow the sun model

-Build out ROE & framework for FIX Protocol based SEF using FIX 5.0 SP2 & SP3

-Advisory, implementation, and execution of post-execution settlement, allocation, and confirms/affirms

- Transaction Life Cycle Management (TLM), Straight Through Processing (STP), corporate actions &

dividends, and securities lending

- Advisory, implementation, and long term support of Market Data solutions

- Dodd-Frank Regulation implementation and advisory

- Market Surveillance Advisory and Solution Implementation (Front Running, Price Manipulation, Wash

Trading, etc.)

- Delivered 400 connection FIX Protocol Engine migration from internal system to 3rd party provider

4 recommendations available upon request

Owner at SKR Consulting

July 1999 - Present (13 years 11 months)

Full Service Computer Consulting for personal and Small Business users.

Inquire for details

Senior Electronic Trading Consultant/Financial Systems Analyst at Greenline Financial

November 2007 - January 2009 (1 year 3 months)

8 recommendations available upon request

QA/Special Projects/Product Integration at Trading Technologies International, Inc.

May 2005 - November 2007 (2 years 7 months)

1 recommendation available upon request

Trade Operations Manager/Implementation Specialist/FIX Specialist at Sungard Investment Products

February 2003 - May 2005 (2 years 4 months)

Onboarding of New Clients- Pre Certification Activities(FIX Engine Configuration, Networking Changes),

Certification, and Production Roll out. Managed a large scale migration from existing FIX Engine to new 3rd

Party FIX Engine. Handled all new client configurations, acted as liaison to client until implementation to

production was completed.

1 recommendation available upon request

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Consultant at Taylor Precision Products

2002 - 2005 (3 years)

Maintained all IT Infrastructure at Taylor offices in Illinois.

Manager Trading Operations/Support & FIX Specialist at Future Dynamics LTD

February 2002 - February 2003 (1 year 1 month)

Project Manager, Support, Day to Day Operations

Trade Assistant, Trade Support, Exchange Floor Support at Equitec Group

February 2001 - February 2002 (1 year 1 month)

Trading Floor Specialist/Trading Assistant/Implementation Specialist at CBOE

October 1999 - February 2001 (1 year 5 months)

Skills & Expertise

Electronic Trading

FIX

Trading Technologies

Order Managment Systems

Trading Engines

Capital Markets

International Capital Markets

Options

Derivatives

Equity Derivatives

Trading

Order Management

Systems

Motors

Market Data

Commodity

Back Office

Trading Systems

Financial Markets

FX Options

Equities

Fixed Income

Bloomberg

Exchange Connectivity

Quantitative Finance

Portfolio Management

Low Latency

Market Risk

Foreign Exchange

Middle Office

Technical Analysis

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Bloomberg Terminal

Hedge Funds

Hedging

Trading Strategies

Education

American Intercontinental University

Economics, 2004 - 2007

Triton College

1999 - 2002

Oak Park River Forest High School

1995 - 1999

Honors and Awards

Speaker, FPL Toronto, Canada June 2011

Speaker, FPL Onboarding FIX Best Practices, NYC Nov 2011

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Sean Ristau

Manager- North America Trading Operations & Capital Markets Consulting Group

*******@*****.***

14 people have recommended Sean

"Sean is a great team player with deep experience in capital markets and IT. While reporting to me, he

successfully delivered a difficult client migration project with flying colors."

Eric Barnhorst, was Sean's client

"Sean is an extremely professional worker who is always willing to go the extra mile. He is very committed

to clients, who appreciate his industry knowledge. He is a leader and was a joy to work with."

Jamie Ricks, Futures Trader, Trading Technologies, worked with Sean at Greenline Financial

Technologies

"Sean is an expert in Capital Markets and has an excellent knowledge in FIX protocol and FIX certification

processes. He is a great person to work with."

Sasee Arumugam, Sr. Business Analyst, Consultant, Scotia Capital, worked directly with Sean at

Greenline Financial Technologies

"Sean is very intelligent and thinks out of the box. Truly an asset for anyone that hires him. I highly

recommend him as he is just brilliant."

Guillermo Arauz, was Sean's client

"Sean is a hard worker and a valuable addition to the team. He is willing to take calculated risks to achieve

big goals, build strategic partnerships, and bring in new business. I hope to have the chance to work with

Sean again."

Drew Seward, Financial Systems Analyst, Greenline Financial Technologies, worked indirectly for Sean

at Greenline Financial

"Sean understands the full breadth of trading technology, trading methodologies and the associated

technology infrastructure requirements. He has a keen understanding of our industry, and most importantly

our firm's positioning within the industry, and where we need to go strategically to position our company to

be successful and win new business."

Andrew McDonald, Head of Emerging Markets Sales, Greenline Financial Technologies, worked

directly with Sean at Greenline Financial

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"It has been a pleasure with Sean. His expert knowledge of FIX and Capital Markets applications was a great

asset during his time at Scotia to bring our team up to speed to support our FIX engine. He would be a great

asset to any client."

Michael Kalalian, was Sean's client

"Since joining the group as a consultant, Sean's work has been of the highest quality. He fully commits

himself to the task at hand, and takes a personal interest in ensuring the job is done to the highest standards. If

Sean has a fault it would be that he cares too much! Great work Sean, job well done!"

D. Andrew Clark, was Sean's client

"With huge & valuable experience in the electronic trading field - Sean got in to business schema of

Greenline Financial Technologies in NO TIME! February 16, 2009"

Slava Plakhin, QA Analyst, Greenline Financial Technologies, worked with Sean at Greenline Financial

"Sean has tremendous industry knowledge in the electronic trading field, particularly with FIX connectivity

and the major derivatives exchanges in the Americas and EMEA. He's definitely a professional and likes to

build a relationship with those he works with to better streamline certification processes and get results asap.

Also, he's good to have a chat with when discussing market color too."

Morgan Downey, Derivatives Product Specialist, TradingScreen, Inc., was with another company when

working with Sean at Greenline Financial

"Sean is an incredibly valuable asset to the Greenline Family. Within the Professional Services Team, he is

not only an exceptional Project Manager, but also often goes beyond the call of duty to disseminate Greenline

offerings to potential clients. He is a leader in Industry Knowledge in the Financial Trading space and is a

constant resource to all members in the team."

Brandon Keao, Financial Systems Analyst, Greenline Finanacial Technologies / Market Access

GFT, worked directly with Sean at Greenline Financial

"Sean provides a professionalism not seen in many vendors out in the industry. His care and concern for the

business is shown in his projects of on-boarding FIX clients. He has the attitude to balance many projects. I

have worked on a recent project and without his efforts; it would not have been successful. He always offers

constructive criticism and look out for the best in people. I look forward to working on more projects in the

future with Sean."

Matthew (Matt) Chimento, was Sean's client

"Sean combines in-depth, background knowledge with focused determination to achieve quality results."

Andre Russell, Technical Writer, Trading Technologies, worked with Sean at Trading Technologies

International, Inc.

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"Sean is a highly dependable, detail orientated, worker that always takes the extra step for his colleagues and

clients."

Robert Villa, Implementation Manager, Sungard Trading Systems, worked with Sean at Trading

Technologies

Contact Sean on LinkedIn

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