Trading, Derivatives, BA, BI, Software, Support

George L Stein

**** ********** **., ******** ****, IN., 46360 ****************@*****.***

Ph. (c) 847-***-**** ************@*****.***

Consultant in Trading, the Markets, Business Intelligence and Analysis, Compliance, Software Development, QA and UAT.

The BlackBay Group, 316 E. 1150, Payson., IL., 62360 03/2015 –

Consultant, Business Analyst, Business Intelligence, FX, Debt, and Equity Portfolio Composition, Accounting Metrics, Marketing and Fundraising –

Business Analyst, researching, back-testing, and analyzing new and existing portfolio programs/allocations in Foreign Exchange Spot, Forward, Futures, Debt, and Equity Sectors for optimal current performance and future expansion into new sectors.

Business Intelligence, requirements for retail technical analysis/software initiative for the firm and cost/benefit/time to market on vendor options versus custom programming.

Quality Assurance and UAT work on proprietary order management and technical tool software and systems developed for the RIA and Hedge Fund, using Agile methodology.

Calculating monthly metrics for hedge fund and RIA versus various investor benchmarks..

Marketing and investor communications lead.

State Street Global Markets, One Lincoln, Boston, MA., 02111 09/2014 – 02/2015

Consultant / AVP, BA, BI, Market Surveillance, Control Room –

Structured and built a cooperative FX Compliance/COO managed Control Room in response to a Federal Reserve MRIA.

Business Intelligence

Participated in the gathering of specifications and development of new surveillance software requirements.

Performed QA manual and automated testing and review of proprietary software, documented defects, and related results to the Project Manager. Participated in root cause research meetings with development team. Utilized Agile and Waterfall Methods.

Trained and supervised a team of business analysts in communication and transaction review.

Assisted in vendor selections and specifications.

Business Analysis

BI/BA, Constructed workflow, decision trees, and case escalation procedures and hierarchies in Visio, as well as business rules, procedure manuals, and training modules.

Surveilled and analyzed FX principal and FX and equity agency communications and transactions for non-compliance utilizing Bloomberg Vault, Symantec Vault, Thomson Reuters/Global Relay, Nice Actimize, and proprietary software. Verified surveillance results against various State Street order management systems including Geneva, Charles River, RealTick, and various proprietary systems across multiple divisions.

Tested order execution, portfolio, User profile and compliance functionality from proprietary order entry systems and Charles River against Nice Actimize results. Performed system data dumps and verified large data sets against source data. Served as a System Administrator in all applications.

Assisted management in constructing various communication/data test cases to judge effectiveness and sensitivity of surveillance operation.

Built performance dashboards for various oversight committees utilizing KPIs, KRIs, gap analysis, etc.

Bridged communication between SS Global Markets Management, FX Compliance, and the COO's office with the Deloitte and PwC consulting groups.

Assisted in researching and crafting responses and presentations for the Fed.

Worked with the business managers to raise the culture of compliance and train traders and dealers in behavior meeting the letter and the spirit of bank and regulatory codes, policies, and procedures.

The BlackBay Group/BlackBay Trading Advisors, 06/11 – 12/14

316 E. 1150, Payson, IL., 62360

Director, VP, Trading & Technology. AP, Trader, & Branch Mgr. to an RIA, IB, CTA, and Hedge Fund.

Director/Board Member for the BlackBay Hedge Fund from inception.

Assisted in defining/establishing Alpha aspects of the BlackBay Blended Strategy, as well as trading and executing positions for the portfolio.

Verified daily activity against Charles River, then Geneva, then proprietary order management systems.

Assisted in structuring the guaranteed IB and CTA through Straits Financial.

Responsible for daily and monthly historical performance metrics, monthly client communications, marketing, performance charts, and media appearances.

NFA Series 3 (futures) and 30 (branch mgr.) registered.

Black Diamond Capital Group, 22 W. Ontario St., Chicago, IL. 60610 04/09 – 04/11

Proprietary Trader. Futures and futures options grey-box (CQG) proprietary trader concentrating in the ICE Energy futures crack, CME energy crack, FX outrights and calendar rolls, equities, debt, and agricultural commodities and the soy crush. Built theoretical models relating the underlying spot energy and foreign exchange market to their derivative futures markets. Mentor/trainer to the firm’s interns. Developed algorithmic specs for coding, testing and deployment, rated and negotiated with various vendors. New technology manager for the firm.

CME Group, 20 S. Wacker Dr., Chicago, IL, 60606 01/04 - 02/09

Lead II Analyst, Business Intelligence, Business Analyst, Live Production Support, Lead User Acceptance Tester. Globex Control Center ( GCC ). Technical analyst and customer liaison for the GCC / exchange. Trading engine production environment and sim environment support lead. Member of the error trade committee, mitigating liability issues for customers and the exchange. Lead 'New Functionality' QA/UAT team leader, responsible for a team of 12 analysts, for new and updated CME Group proprietary software and external trading platforms. Assisted the PM in gathering requirements, prioritizing and performing requirements review, FIX ML debugging, SDLC, Agile method, crystal reports, authored test scripts, performed manual and automated testing, Agile system, user manual writing and training. Link between the GCC and the rest of the exchange for communicating new software specifications, test results, defects, and resultant functionality. Achieved three promotions to technical supervisory position and four annual excellence awards as well as a special equity recognition for technology work on the CME-CBOT merger..

Licenses -

NFA Registered #0051754, Associated Person to BlackBay Futures Group, LLC

Series 3, Futures Broker, NFA-Finra, March, 2012.

Series 30, Branch Office, NFA-Finra, Feb 8, 2012.

NFA Floor Broker licensing and SEC options floor licensing currently inactive.

Previous career work -

Stein Capital Management, Inc., CTA Trader, Owner.

First Continental Trading - FCT, LLC, Proprietary Trader, Marketer, spot, forward, and futures FX and equities.

Linnco Futures Group - LFG, LLC, Chief Dealer, spot and futures FX.

Geldermann, Inc. ( a division of Con Agra ), Market Maker, Marketing, spot, forward, and futures FX.

Sanwa BGK Securities ( Sanwa Bank ), Market Maker, FX, Treasuries, EFPs.

LIT America ( Shatkin, Arbor & Karlov ), Market Maker, FX.

Chicago Board of Trade – CBT & CBOE, Independent Trader. Agricultural, Energy, Precious Metals, and Financial Futures.

Education -

University of Chicago Graduate School of Business [ the Booth School ], MBA, Masters in Business Administration, concentrations in Finance and Managerial Decision Making. 06/2005 to 03/2009. GPA 3.18.

University of California at Los Angeles, Westwood, California, BA in Business – Economics, 09/1976 – 06/1980. GPA 3.15.

New Trier West High School, Northfield, Illinois, HS Degree, 09/1974 – 06/1976.

Interests -

Family, Soccer, Live Theater, Writing and Literature, Urban-Decay Photography, Music, Antiques, WPA Era, Modern Art, Primitive, Intuitive, and Art Brut.

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