Market Surveillance, Trade Surveillance, Compliance

GORDON GRAVES

***-** ***** ******, *******, NY **436

Cell: 347-***-****

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

PROFESSIONAL PROFILE

Accomplished Compliance professional skilled at conducting research and analysis to ensure complete firm compliance. Adept at multitasking to achieve goals related to the department's regulatory responsibilities. Experienced at conducting compliance monitoring for operational processes, reviewing and accessing data for compliance. Versed in implementing compliance plans to optimize efficiency and transparency. Seeks an opportunity that will allow my analytical ability, communication and collaborative leadership skills to benefit the organization. SKILL HIGHLIGHTS

• Adept in market analysis/research and investigations

• Trading analysis and trading lifecycle understanding

• Time management and multitasking

• Collaborative leadership and team player

• Analyzing regulatory data and information to maintain current working knowledge

• CFTC core principles and Dodd-Frank Act

• E-Communications Surveillance

• Risk Management and Market Regulation

• Proficiency in MS Office Suite

• Articulate analyst/researcher skilled in researching problems, detecting market conditions

WORK EXPERIENCE

FINRA

New York City, NY

Equities Surveillance and Front Running, Contractor 03/2015 to 04/2016

• Effectively investigated assigned system generated Equities Alerts and used equity data analysis (OATS, Blue Sheets).

• Attended employees/management meetings and discussed developing policies.

• Monitored and took appropriate actions on compliance -related issues.

• Conducted reviews of trading and investigate possible violations of the rules and regulations enforced by FINRA.

• Resourcefully compiled and organized information from sources to be used in the development of the investigation and present investigative findings (verbal and written) to management. TRUEEX, INC

New York City, NY

Market Surveillance Manager (SEF & DCM) Consultant 05/2014 to 07/2014

• Proactively monitored NASDAQ SMART system for alerts to investigate potential trade practice abuses.

• Collaborated with cross-functional teams regarding the completion of the Market Surveillance Manual and Rulebook.

• Successfully transitioned the Market Surveillance program from the NFA to TRUEEX, Inc.

• Key contributor with gaining CFTC approval for the Market Surveillance program at TRUEEX, Inc. NY MERCANTILE EXCHANGE/CME GROUP

New York City, NY

Futures Market/Trade Surveillance Analyst 02/1999 to 09/2013

• Enforced policies/procedures pursuant to laws as well as regulations/rules issued by the CFTC, NFA and the Exchange as applicable.

• Effectively supervised team for Large Trader reporting and 102 form filing from all member firms and omnibus accounts.

• Monitored electronic trading for anomalies that merit further investigation in real time and T+1.

• Collected/analyzed documentation and addressed compliance issues.

• Reviewed EFRP/Block trades, Algorithmic/High Frequency trading for anomalies that could result in manipulation.

• Conducted formal investigations of potential manipulative activity.

• Analyzed and conducted trend analysis on contract performance in external conditions, user demands and supply.

• Managed the surveillance of metals/energy/electricity products and related derivatives traded.

• Reviewed contract terms and conditions and suggest certain points to fit it as per legal compliance.

• Tracked cash/physical market prices/physical deliveries globally from COMEX, LME, LBMA, and Shanghai.

• Strategically monitored market news, and fundamental factors that influence prices of Futures and Options trading.

• Liaised with member firms/customers on rule interpretations and regulatory requests.

• Enforced Futures spot month limit, accountability violations and contract expirations. EDUCATION

BUSINESS ADMINISTRATION/BUSINESS MANAGEMENT

QUEENS COLLEGE, Queens, New York

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