Project Manager Engineer

P HILIP A . D INA

PROFILE

Compliance professional with practical experience in both the brokerage and investment advisory arenas.

Comprehensive working knowledge of all firm departments, with emphasis in audit, trading, back office

operations, training and business development. A ”can-do” specialist committed to delivering proven

solutions for firm and regulatory challenges. A mentor capable of guiding the firm through new federal,

state and regulatory rules and requirements. A team leader and published author who can develop

innovative and cost effective solutions to promote business.

PROFESSIONAL FOCUS

• Regulatory Compliance

CCO, AML Compliance Officer, MSRBP & ROSFP

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• Audit Experience:

17 NASD Special & Cycle Audits, 2 NASD TAMS Audits & 3 SEC Audits

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• Working Relationships with Federal (SEC), State & SROs (NASD) Regulatory Bodies

• NASD Series Licenses: 4, 7, 9, 10, 24, 53, 55, 63, and 65

• OTC Trade Desk Supervision

• Continuing Education Coordination

INDUSTRY EXPERIENCE

Obsidian Financial Group, LLP (FINRA Broker Dealership)

New York, New York

Chief Compliance Officer 4/2008 to Present

Chief Compliance Officer for a new retail broker-dealership. Design, implemented and tested all internal

regulatory and internal supervisory and compliance controls and systems. Compliance support expert in

the acquisition team of regional broker-dealer. Responsible for administering 1017 process (Change in

Ownership). Served as regulatory liaison between FINRA and the firm.

Lead Principal for 2 FINRA Cycle Audits, 1 SEC Audit and the firm’s 1017

•

application

AML Compliance Officer

•

MSRB Principal

•

Registered Options Securities Futures Principal

•

• Designed and implemented WSPs based in the firm’s business model

• Performed compliance reviews, and examined/tested firm policies and procedures based

on regulatory requirements

• Developed, implemented compliance program and internal controls

• Established and administered yearly compliance audit plan and internal training seminars

• Senior contact for all federal, state and regulatory bodies

Philip A. Dina 201-***-****

40 Old Stone Church Rd. ***********@*****.***

Upper Saddle River, New Jersey 07458

EMC / BusinessEdge Solutions, Inc. (Consulting)

New York, New York

Director of Regulatory Compliance 12/2005 to 4/2008

2008 – Subject Matter Expert for BASEL II for Top International Ban k.

Subject Matter Expert performing a regulatory advisory role within the Basel II program office.

Evaluated regulatory coverage for US BASEL II requirements and provided guidance as to departmental

program adequacy. Validated departmental regulatory requirements and “handed off” to internal legal/

operations offices. Provide recommendations on ways to better address mandates and improve risk

metrics.

2007 - Project Manger for BLA - Trust Reviews for a Top International Ban k.

Evaluated various business lines in accordance with federal audit standards. Reviewed the business line’s

documentation of process and procedures for their risk control self assessment (RCSA). Review and

evaluate each business line’s demonstrated actions and controls to mitigate regulatory risk exposure, as

prescribed by the client’s review process and report templates

2007 - Project Manager for Regulation W for a Top International Bank.

Evaluated and reviewed the banks process, procedures and risk controls around compliance with

Regulation W. Reviewed and evaluated risk and control around policies, procedures, and internal

reporting requirements for compliance with Regulation W.

2006 - Project Manager for Enhanced Due Diligence (EDD) for Large Bank - AML Review

Requirements.

Enhanced and streamlined the banks current EDD review process for evaluating and reporting EDDs on

certain international customers. Processed, reviewed and identified banking clients who apparently met

the bank’s EDD criteria.

2006 - Project Lead for BASEL II Vendor Selection for Top Domestic Bank.

Defined and mapped BASEL II data elements for various client and exterior sources. Developed, wrote

and defined evaluation matrix for vendor Request for Proposal (RFP).

2006 – SIA Conference Speaker – Phoenix Az.

Conference speaker on new regulations impacting trade processing and reporting – Regulation NMS.

Utendahl Capital Partners, Inc. (FINRA Broker Dealership)

Utendahl Capital Management, Inc. (Registered Investment Advisor)

New York, New York

Chief Compliance Officer 4/2004 to 12/2005

Served as Chief Compliance Officer, reporting directly to the CEO, for the nation’s leading minority-

owned institutional underwriting firms and leading minority-owned investment advisor. Oversaw the

firm’s underwriting effort in primary issuances in both the Fixed Income and Equity Markets. The

organization averages 90 underwritings a year and enjoys a lucrative Fortune 100 institutional clientele.

In the firm’s brief 10-year history, the firms have underwritten more than $1Trillion in debt and equity.

The company’s registered investment advisor manages approximately $2.3B in asset for various pension

Philip A. Dina 201-***-****

40 Old Stone Church Rd. ***********@*****.***

Upper Saddle River, New Jersey 07458

funds. Managed all aspects of regulatory compliance, registrations, audit, for both a broker dealership

and an investment advisor.

• Served as AML Compliance Officer (CTRs, SARs, FinCEN & OFAC Representative)

• Served as principal reviewer for insider trading and soft dollar arrangements

• Revised investment advisor WSPs

• Performed compliance reviews, and examined/tested firm policies and procedures based

on regulatory requirements

• Developed, implemented, and automated the compliance program and internal controls

• Established and administered objectives for the yearly compliance audit plan and internal

training seminars

• Developed and implemented policies and procedures necessary to ensure compliance

with Investment Advisers Act of 1940 and other applicable federal securities laws

• Developed and Executed 1017 (Change in Ownership)

• Advised the firm’s Business Development Unit on regulatory matter and critical risk

management issues

• Developed and Implemented new Written Supervisory Procedures and Code of Ethics

• Monitored and reviewed Form BD and Form ADV Parts I & II

• Regularly met with senior management to discuss relative issues and, where possible,

provide alternative and creative business solutions

National Securities, Inc. (NASD Broker Dealership)

New York, New York

Special Compliance Officer 7/2003 to 4/2004

Worked as Trade Desk Supervisor and Special Compliance Officer attached to the office of President of a

leading firm dedicated to the independent broker. Principal duties included reviewing all market making

and trading activities. Supervised four trading desks, making 600 NMS and pink sheet markets. Assisted

with OSJ reviews of the firm’s 54 branch offices and 550 registered representatives.

• Served as Trade Desk Coordinator

• Serve as Senior Compliance Officer for NASD TAMS Audit

• Developed and wrote new audit procedures to document reviews

• Developed and enhanced written supervisory procedures – Trading/ Market Operations

• Researched and engaged new support vendors for various compliance functions

• Served as Senior Compliance Principal, representing the firm at all regulatory exit

interviews

E Street Access, Inc.(NASD Broker Dealership)

Englishtown, New Jersey

Compliance Director 11/2001 to 7/2003

Served as Compliance Director of a public traded general securities firm. Conducted audit and review

functions for both sales and market making divisions. Proved technical support and programming

Philip A. Dina 201-***-****

40 Old Stone Church Rd. ***********@*****.***

Upper Saddle River, New Jersey 07458

assistance to achieve compliance with SEC Rule 11Ac1-5 (Order Routing Practices) and 11Ac1-6

(Market Making Practices).

• Developed and Wrote Procedures for Compliance with USA Patriot Act

• Designed, wrote and implemented procedures & software programming for 11Ac1-5 &

11Ac1-6 Reporting

• Supervised Continuing Education (Firm & Regulatory Elements)

• Updated Written Supervisory Procedures

• Developed, wrote and implemented three-year Action Plan for business development

Mercer Partners, Inc.(NASD Broker Dealership)

New York, New York

Compliance Director 2/2000 to 5/2001

Pioneered the process for offering initial public offerings (IPOs) on the Internet for an online investment-

banking firm. Over a six-month period, the firm developed, presented and received two No Action

Letters from the SEC for Internet initial offering operational mechanisms.

• Interfaced with both SEC & NASD and received two SEC “No Action Letters”

• Supervised the Electronic Trading Platform

• Developed & integrated trading, execution and compliance platforms & software

• Created and expanded a successful Internet-based brokerage business

• Developed and implemented automated compliance back office and trading packages

• Earned four Forbes “Best of the Web” recognitions (Winter, Spring, Fall 2000, & Winter

2001)

Millennium Investment Bankers, Inc.(NASD Broker Dealership)

New York, New York

Compliance Officer 1998 to 2000

Functioned as the Compliance Officer for a securities firm and developed a cross-border trading system

between the Oman (OMX) and the US equity markets. Created the first international cross-border trading

platform through Spear-Leads & Kellogg.

• Created and implemented electronic trading model for Swedish trading operations

• Conducted internal audits of trade practices; and reviewed retail compliance issues

• Conducted continuing education class (Firm Element)

• Designed, developed & integrated trading, execution and compliance platforms &

software

Dina Securities, Inc.(NASD Broker Dealership)

Wayne, N.J.

CEO 1990 to 1998

Pioneered electronic trading on the Internet as CEO of a securities firm

• Developed and wrote proprietary front-end and back office service platforms

Philip A. Dina 201-***-****

40 Old Stone Church Rd. ***********@*****.***

Upper Saddle River, New Jersey 07458

• Developed “Synthetic 24” compliance module, which is forerunner of today’s electronic

compliance engines

• Served as the firm’s Trading Risk Manager

• Designed, developed and implemented software, technology, and procedures, which have

become industry standards

• Expanded firm to include five franchise satellite trading offices & 100 traders

All-Tech Investment Group, Inc.(NASD Broker Dealership)

Montvale, N.J.

Branch Office Manager 1986 to 1990

Served as Senior Vice President for retail investment group.

• Oversaw retail branch office activities

• Conducted branch internal branch audits

Binder Robinson & Company (NASD Broker Dealership)

New York, N.Y.

Assistant Office Manager 1984 to 1986

Worked for an investment banker:

• Conducted daily office meetings

• Responsible for meeting monthly production goals

General Food Corp

Tarrytown, New York

Chemical Engineer 1981 to 1984

Pilot Plant R & D Engineer in new products division:

• Developed vegetable proteins models

• Defined heat transfer model for starch based foodstuffs

• Received U.S. Patient for spinning vegetable protein fibers.

SPEAKING ENGAGEMENTS

• SIA Conference – Phoenix, Az. - Regulation NMS

6/2006

• Maximum Security Conference - New York, N.Y. - Regulation SP

3/2001

EDUCATION

Northeastern University, Boston, Ma – Chemical Engineering 1976 to 1981

Philip A. Dina 201-***-****

40 Old Stone Church Rd. ***********@*****.***

Upper Saddle River, New Jersey 07458

Philip A. Dina 201-***-****

40 Old Stone Church Rd. ***********@*****.***

Upper Saddle River, New Jersey 07458

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