VLAD UCHENIK

*** *** ****** *****

Langhorne, PA 19053

Residence: 215-***-****

Cell:215-***-****

SUMMARY: Offering over 15 years of compliance (SEC, FINRA, MSRB, FRB and

State) and operational expertise along with excellent

leadership, project management, communication, problem solving

and interpersonal skills and an ability to quickly adapt to a

changing market environment.

EXPERIENCE: iTB Securities, LLC (New York, NY)

Consultant/CCO 4/11 - Present

Established all of the firm's compliance and operational

procedures. Identified and structured all compliance issues

associated with MSRB/TRACE reporting, trading limits and confirm

and trade breaks. Successfully prepared and obtained FINRA 1017

approval for iTB Connect to be designated as an ATS and prop

trading. Fully integrated the firms' online trading system with

the iTB's clearing firm's back office system, BETA. Helped set

up relationships with other BD's in order to provide liquidity.

FINRA Series 4, 7, 24, 28, 53, 63 and 65 licenses.

InterMerchant Securities LLC (New York, NY)

CCO/COO 3/10 - 1/11

Enhanced the firm's operational, compliance, financial, IT and

regulatory processes . Responsibilities included all day to day

regulatory responses and coordination, SAR and wire activity

reviews, KYC review and approval, risk management, FinCen

requests, private placement supervision, revision of AML and WSP

manuals, research reviews and CE training. AML and BCP officer.

Jesup & Lamont Securities Corp. (New York, NY)

COO/CCO/FINOP 10/08 - 12/09

Responsible for all operational, compliance, financial, AML/KYC,

regulatory and legal matters as they relate to the FINRA B/D and

SEC IA. Supervised a staff of over 120 registered reps. FINOP,

AML Officer, Member of Executive Committee. Duties included

regulatory responses and coordination, AML, institutional and

retail fixed income compliance, assessing risk for origination

and underwritings, WSP preparation and review and trading and

market making supervision. Worked with Sungard and clearing firm

in developing product specific exception reports. Coordinated

implementation of the firm's Bloomberg fixed income (TOMS) and

equity (SEOMS) trading systems. Picked as a member of the FINRA

District 10 Executive Committee.

Safdie Investment Services Corp. (New York, NY)

COO/CCO 5/05- 10/08

Supervised a staff of 13 registered reps, 5 operations personnel and

8 investment advisors. As the Chairman of the Executive

Committee accountabilities included day to day decision making,

project management,, review of high risk foreign accounts,

IARD, MSRB and CRD maintenance, US and International compliance

and operational support, syndicate management, operations

department supervision, transaction and accounts reviews,

conflict of interest assessments and offshore/hedge fund

eligibility reviews. Charged with addressing all human resource,

technology, administration and facilities issues. Certified Anti

Money Laundering Specialist (CAMS)

US Trust Company of New York (Jersey City, NJ) VP of

Regulatory Risk Control l1/03-5/05

Initiated a newly created role in the Operations Department that

focused on all compliance issues in Securities Services, Bank

Operations, UST Securities Inc., 4 SEC Investment Advisors,

Equity and Fixed Income Trading, Custody and Trust Services and

Mutual Funds (Excelsior). Supervised the Quality Control Group

which included reconciliation oversight, policies risk

management and procedures review and updates, Sarbanes-Oxley

certification, internal controls review and resolving and/or pre-

emptive recognition of possible regulatory issues. Prepared

regulatory reports including 13F/G/D, GIPS, US Owners of Foreign

Securities Report, Foreign Owners of US Securities Report and BE-

82/85. Regulation O monitoring, asset allocation review, EDD,

mutual fund agreements review, audit issues resolution,

advertising and sales literature oversight, expense agreements

(23A/B), AML coordination and ERISA compliance. Designated as

the operations' representative during all regulatory

examinations.

BBVA Securities Inc. (New York, NY) CCO

8/01 - 11/03

Oversaw supervision of the Section 20 B/D and US Bank Branch. Daily

activities included AML, EDD and PATRIOT ACT monitoring, trade

surveillance, institutional trading supervision, NASD Rule 2711

and Regulation AC research material review and disclosure

monitoring, capital markets compliance including coordinating

Reg S and 144A offerings through primary Spanish Bank affiliate,

implementing compliance initiatives for the NY office that

became the basis for global operations, coordinating

examinations with the NASD, SEC and FRB, chaperoning of non-US

B/D's (SEC Rule 15a-6) and financial oversight (SEC Rule 15c3-3)

Member of the AML/KYC and Operational Risk Committees.

Security Financial Network (Phoenixville, PA) CCO

11/99 - 8/01

Restructured and reregistered the BD and Investment Advisor. Created

new work flows for the supervision of all registered

representatives, new account opening process, email and

communication reviews, Form BD, U-4 and U-5 filings, management

reports to the partners of the firm and monthly net capital

computations along with FOCUS reports. Coordinated an SEC

oversight examination which granted the firm approval for the

restructuring.

NASD Regulation (Philadelphia, PA)

Securities Examiner 9/97 - 11/99

Conducted over fifty examinations of BDs, testified and prepared evidence

for arbitration and legal proceedings, reviewed audited financial

statements and new business activity proposals, monitored twenty BDs

daily, computed net capital (SEC Rule 15c3-1(3)), reviewed FOCUS reports,

acted as a mentor to new employees in a training capacity. Winner of the

NASD Above and Beyond Award for the work done with the NASD's INSITE

initiative.

EDUCATION: Temple University, Philadelphia, PA, 1998

Masters of Business Administration: Finance, G.P.A. 3.8

Rutgers College, Rutgers University, New Brunswick, NJ, 1994

Bachelor of Science: Business Management,

SKILLS: Microsoft Excel, Microsoft Word, Power Point, Visio, fluent in

Russian, working knowledge of Spanish, all FINRA and MSRB

systems.

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