Trading and Operations/Compliance

*** *. ******* ***., *******, IL ***** • ***********@*****.*** • 312-***-****

Christopher Mazzacano

Compliance Professional

FINRA licensed 7, 24, 4, 55, 63

Leadership, Accountability, Instinct: Problem Solving Through Personal Excellence

Recent Achievements:

Managing Director IntercontinentalExchange NYSE

Head of FINRA/NYSE TRF®

Operations

• Diligent management of SEC and FINRA regulatory requirements at NYSE Arca/Amex Options and NYSE Arca Equities Trade Support Division: Maintained trade support policies and procedures manuals, fostering cooperative relationships with Office of General Counsel, corporate compliance, IT, and risk management groups.

• Broad-based knowledge and experience of modern marketplace and critical, evolving regulatory environment since 1998 – notably HFT impact on broker dealers and retail. Daily interaction with outside traders, FINRA, and compliance directors.

• Compliance: Primary liaison with FINRA regulation: tasked with assessing technology changes per regulator business requirements, annual mandated audits, and marketwide rule changes/initiatives.

• Surveillance: Daily oversight of FINRA/NYSE TRF trade reporting activity for identification of anomalies or improper activity, followed by vigorous problem resolution.

• Leadership: Coordinated cross- departmental development of Web- based TRF Client Management Tool (customer front-end), providing authoritative strategic and creative input from concept/design to release.

• Project Management: Provided thorough business analysis and execution of strategy: integration of development cycles, systems compliance, sales support, marketing, and un- interrupted operation of NYSE TRF.

• Trusted ownership of NYSE Arca communications suite: Wrote and disseminated press releases, provided crisis management, and market-related news on behalf of NYSE Arca Equities and Options, TRF, and GlobalOTC platforms. Responsible for updating related social media content (Twitter).

How It Happens

• Teamwork • Drive for improvement

• Shared knowledge • Planning and execution

• Personal integrity • Accountability

• Attention to detail • The “Human Touch”

Career

2/2002 – 3/2015 Intercontinental Exchange, Inc. – Chicago – Managing Director

• Participated closely in transition of Archipelago ECN to SEC-approved ArcaEx,

the world’s largest electronic stock exchange of its day.

• Added derivatives knowledge base and experience upon acquisition of the “P-

Coast”, and subsequent advent of the NYSE Arca Options Exchange and NYSE acquisition

of Amex Options.

• Merged with New York Stock Exchange in 2006; Worked in concert with New

York- based general counsel, developers, compliance, and technology during integration of

exchange platforms and business cultures.

• 2006, tapped to lead support and development efforts re-establishing the

FINRA/NYSE TRF®. Responsibilities included FINRA regulatory compliance, business

development and strategy, outside sales, customer integration, testing, & training. Named

“Head of TRF Operations” in 2011.

• Worked closely with NYSE Office of General Counsel and compliance groups in

Chicago and New York, in developing revised written procedures following the “Flash Crash”

under expanded SEC exchange scrutiny.

• Assisted executive management in winding down Chicago support after acquisition by

ICE in 2013. Trained NYSE floor employees in TRF policies and procedures, provided for

smooth handoff of duties at end of tenure, March 2015.

6/1998 – 10/2001 Web Street Securities, Inc. – Chicago - Supervisor, Private Client

Group

• Start-up online trading retail brokerage, sold to E*Trade after IPO in 2001.

Education

B.A., Cinema-Television, University of Southern California, Los Angeles, 1993

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