Kenneth J. Kitchin

** *** **., ***. *, Montclair, NJ 07042

ad37gd@r.postjobfree.com

PROFESSIONAL SUMMARY

Dedicated compliance professional with extensive experience in trade surveillance, AML compliance, and regulatory compliance analysis. Proven track record of implementing effective compliance strategies and ensuring adherence to regulatory standards. Detail-oriented and adept at navigating complex regulatory environments.

RELEVANT EXPERIENCE

Hold Brothers Capital, LLC, New York, NY February 2024-Present

Compliance Consultant

Hired as a compliance consultant to perform second level manipulative trading reviews at a former employer.

Assisted in composing responses and collecting documentation for FINRA regulatory exam inquiries.

Mizuho Americas, New York, NY Apr. 2023—Oct. 2023

Vice President – Trade Surveillance (Compliance)

Reviewing proprietary trading reports generated through the firm’s order management system (OMS) for potential violations of SEC and FINRA rules and regulations, such as spoofing, layering, marking the open/close, cross/wash alerts, front-running, looping, flickering, and others.

Reviewing alerts in a manipulative trading GUI provided by a third party (Eventus) for similar potential violations of SEC and FINRA rules and regulations.

Wrote standard operating procedure (SOP) module documents for individual alert procedures.

Contributed to meetings regarding parameter development for our Eventus alert modules.

Note: I resigned from this position in October 2023.

Hold Brothers Capital, LLC, New York, NY Nov. 2020—Apr.2023

AML Compliance Officer/Trading Risk Manager

Responsible for day-to-day management and supervision of customer and proprietary member trading.

Reviewed manipulative trading alerts in Trillium and created reports regarding manipulative trading patterns.

Significant contact with regulators and third parties regarding firm compliance matters.

Edited and created content for the firm’s written supervisory procedures (WSPs) and alert escalations.

Responsible for implementing firm’s AML/CFT/KYC policies (OFAC, FinCEN, background reviews).

Responsible for reviewing firm’s compliance with FINRA CAT/CAIS reporting and updating reporting methods.

Hands-on experience with Reg SHO, Best-Ex, Rule 606, 15c3-5 and other relevant equity regs.

NYLIFE Securities, LLC, New York, NY Jul. 2016—Nov. 2020

Sr. Compliance Associate

Significant written and oral correspondence with the firm’s registered representatives and investment advisors

regarding regulatory inquiries and examinations and to provide education on reporting obligations.

Significant contact with FINRA and state regulatory agencies during regulatory investigations of registered

representatives, investment advisors, and individual branches of NYLIFE Securities, LLC.

Responsible for a significant portion of routine Form U4/U5 and Rule 4530 disclosure filings.

Responsible for coordinating internal compliance projects, policies & procedures, team presentations, and research for non-compliance teams on an ad hoc basis.

JPMorgan Chase & Co., New York, NY Nov. 2015—Jul. 2016

Regulatory Compliance Analyst

Documented and audited existing customer accounts to meet government mandated KYC requirements.

Completing due diligence investigations for high-risk clients using internal and external research tools.

Reviewed metrics analytics for global Client Screening and Transaction Screening teams.

Trained in KYC, Sanctions, PEP, Negative Media and other compliance-related audit methods.

Lamping, Schlegel and Salazar, L.L.P., Washington, IA Nov. 2012—Jul. 2014

Associate Attorney

Relevant practice areas: provided a wide variety of legal services to corporate clients including: corporate compliance with Iowa and federal law; best practices under IRS treasury regulations; small business risk management; drafting contracts; real property transactions; loan transactions; review of employee business records and emails for compliance with laws and regulations.

Highlights

Successfully defended a criminal defense client at trial for Harassment – 3rd Degree (acquittal).

Oversaw, researched, and designed a corporate reorganization under IRS treasury regulations (split-off).

EDUCATION

The University of Iowa College of Law, Iowa City, IA Aug. 2009—Jul. 2012

J.D.; GPA 3.46

Dean’s Award for Highest Grade in “Human Rights in the World Community.”

Team Member for the Jessup International Moot Court Competition.

Research Assistant for the late Prof. David Baldus.

Tufts University, Medford, MA Sep. 2003—May 2007

B.A. in International Relations; cum laude, GPA: 3.50

Member of Sigma Iota Rho, Tufts University Chapter – National Honor Society for International Relations.

Multiple placements on Dean’s List.

RELEVANT SKILLS & EXPERIENCES

Motivated self-learner and willing to gain experience in new investing space

FINRA Series 7, 24, 57 & 63

Trillium Surveyor

FINRA CAT/CAS reporting

AML/CFT/KYC review skills

Reg SHO, Best-Ex, Rule 606, 15c3-5

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