Management Risk

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Senior Compliance Officer; Broker Dealer, Investment Advisor or Hedge

Fund. Partner with and support senior management (CEO, CFO and

General Counsel) and department heads (Trading, Operations and IT) to

maintain and ensure the highest regulatory standards. Active

leadership role in creating, implementing, monitoring and enforcing

robust and sustainable Compliance Risk Management Programs and

reasonably designed policies and procedures. Establish strong working

relationships with business partners, regulators and industry peers.

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Independent Compliance Consultant

May 2008 - Present

. Strategic advisor and compliance consultant partnering with a small

hedge fund to facilitate the New Member Application process for the

creation of a broker dealer. Extensive and comprehensive knowledge

of all aspects of FINRA & SEC new member application and regulatory

examination/inspection processes

. Developed working knowledge of Investment Advisors & Investment

Advisor Registration, Filings (Form ADV), Licensing, Recordkeeping,

Custody, Disclosure, Fiduciary Duty & Regulatory Examinations

. Developed and implemented a Compliance Risk Management Program,

Corporate Compliance Committee, organizational structure and Written

Supervisory Procedures at a new broker dealer

. Provided compliance and human capital consulting services to one of

NYC's largest construction companies including the creation and

implementation of compliance policies and procedures

. Established Compliance and Human Capital functions and served as the

firm's primary liaison during Federal and State Compliance Reviews

including all written correspondence and production requests

LaBranche & Co. LLC September 1999 - January 2008

Chief Compliance Officer, Managing Director January 2005 - January

2008

Direct report to the CEO/Chairman, President & COO on material

regulatory compliance matters

. Managed and coordinated all aspects of FINRA, AMEX and SEC

regulatory examinations and inquiries

. Served as Chairman of the Corporate Compliance Committee preparing

the agenda booklets content for monthly meetings to review the

effectiveness of the firm's Compliance Risk Management Program

. Provided updates on the progress/results of internal/external

audits, surveillance & SOX compliance

. Prepared the Firm's annual compliance report, which was the basis

for the CEO annual certification

. Participated in regular meetings with CEO, Legal, Trading,

Operations and Human Capital

Reported to the Audit Committee of LaBranche and Co Inc.'s Board

of Directors

. Presented quarterly updates on the effectiveness of the Firm's

Compliance Risk Management Program as reported in the monthly

Corporate Compliance Committee meeting agendas and minutes

. Addressed each internal and external audit report and regulatory

examination report issued to the firm and advised on remedial

and/or corrective measures taken

Director of Compliance December 2001 - January 2005

. Customized Compliance Risk Management Programs for equity trading,

which included senior management. Defined and quantified

regulatory and compliance risk and ensured clear accountability

. Formed and chaired Corporate Compliance Committees to review and

monitor regulatory, audit and compliance activities, including the

creation, revision and enforcement of new policies and procedures

. Supervised a team of seven including attorneys, trading floor

compliance officers and IT consultant

. Managed all regulatory reporting and filing requirements including

annual compliance reports pursuant to NYSE Rule 342, NASD Rule

3010, 3012, 3013, Rule 351e, Form BD and RE-3s

. Prepared written responses to all regulatory examinations, audits,

inquiries and production requests

. Hosted annual compliance presentations of the firm's Compliance

Risk Management Program to executive management, approximately 350

trading professionals and the SEC and NYSE

. Created and performed Information Barrier/Chinese Wall education,

training and compliance reviews

. Established, maintained and enforced the firm's WSPs and Written

Supervisory Review Procedures

. Oversaw the Anti Money Laundering Program, OFAC, FINCEN and US

Patriot Act compliance

. Established On Floor Compliance Officer positions for NYSE and

AMEX equity trading operations

. Interacted closely with internal business partners on regulatory

matters affecting the firm

. Maintained strong working relationships with regulators to

anticipate areas of regulatory focus

Compliance Analyst / Compliance Officer September 1999 - December 2001

. Prepared / filed regulatory reports including, but not limited to

SEC Forms 3 and 4, Form BD, BR, U4s, U5s, DRP Disclosures, RE-3s,

gifts and gratuities and communications with the public

. Functioned as the AML Compliance Officer and WEB CRD administrator

performing related reviews

. Filed applications for NASD Membership and broker dealer

registration in New York State

. Implemented use of Compliance Bulletins to educate staff on

regulatory publications and firm policies

New York Stock Exchange, Inc. New York, NY November 1998 - August

1999

Supervising Senior Examiner, Member Firm Regulation

. Performed annual trading and operational exams of market making

firms and led exit interviews

. Assigned special project of assisting the Enforcement Division

with trading investigations

Union Bank of Switzerland, New York, NY June 1997 - July 1998

Senior Equities Auditor, Internal Audit Department

. Audited trading businesses of Index Arbitrage, Distressed Debt,

Equities, Futures and Options

. Designed Risk Control Matrices for trading, operations and product

control

Dean Witter Reynolds, New York, NY October 1996 - June 1997

Intermediate Auditor, Internal Audit Department

. Verified the accuracy and completeness of Dean Witter Discover &

Co.'s ("DWD") financial information reported to the SEC for the

1997 Morgan Stanley/DWD Joint Proxy Statement/Prospectus

. Identified key inaccuracies in the Executive Summary Compensation

Table and Stock Performance Graph and Beneficial Ownership of

Common Stock Table and recommended procedural revisions

Chase Manhattan Bank, New York, NY June 1993 - May 1996

Compliance Analyst, Product & Production Risk Management December 1994

- May 1996

. Provided trading risk management, compliance/audit services for

following front/back offices

Foreign Exchange Derivatives Eurocurrency Money Markets

Fed Funds

Government Bonds Futures Commodities Money Transfer

Securities

. Performed compliance reviews of internal controls, assessed

effectiveness of supervisory procedures for physical securities

counts and inventory reconciliations

Operations Analyst, Management Internal Control June 1993 - November

1994

. Performed daily general ledger/statement reconciliations in FX

Nostro Accounting/Operations

. Assessed the accuracy /integrity of Chase's FX Risk Dollar

Management System and instituted trade capture exception reports

for exotic currencies

EDUCATION & REGISTRATIONS

MANHATTAN COLLEGE Graduate School of Business, Riverdale, New York

Masters of Business Administration in Strategic Management, 1998

Bachelor of Science, 1993 Major: Finance

UNIVERSITY OF PENNSYLVANIA The Wharton School of Business,

Philadelphia, PA

Certified Regulatory Compliance Professional ("CRCP") Designation -

December 2006

Licenses: Previously Held Series 7, 63, 24 and 14 - will apply for

waiver or retake as needed

Professional Affiliations: SIFMA, NSCP, NAFSA, IIA, FINRA Hearing Panel

Member and Allied Member

Proficiencies: MS Word, Excel, Outlook and PowerPoint

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