Vice President Client Service

CAREER ACCOMPLISHMENTS

Built a trading desk to accommodate growth and manage the daily operations of over 400 accounts and $4B AUM

Exceeded the firm’s high standards of trade execution review quarterly with the Best Execution Committee

Chosen by firm executives for assignment in Singapore to train Asia client service team and oversee the opening of Asian office

Contributed to growing institutional clients by meeting with consultant teams

Customized algorithms to achieve trading goals

PROFESSIONAL EXPERIENCE

Citi Financial Services New York, NY

Vice President – FIU Execution Officer August 2019

Review, analyze and investigate potentially suspicious activity generated through transaction monitoring alert/cases and referred from other line of businesses

Trade and account surveillance. Investigate potential Regulation M violation and MNPI insider trading activity, along with cross trading and other market misconduct using internal and external resources

Review client ADV and marketing material to identify investment strategies, counterparty relationships, and business jurisdiction to understand expected client behavior. Work and review client activity with internal business manager for client onboarding and KYC profiles

Examine flagged cases for AML and market misconduct typologies: High Risk Transfer, Fund Transfers, Low Price Securities, Offsetting Trades, etc.

Weekly market outlook meetings identify broad trends amongst institution client base

Conduct appropriate due diligence related to the potential suspicious activity and report such activity to the appropriate regulatory authorities Network (FinCEN), the Bank Secrecy Act(BSA), and USA PATRIOT ACT.

Prepare and file a Suspicious Activity Report (“SAR”) in compliance with established regulatory guidelines and time frames set forth by U.S. Treasury's Financial Crimes Enforcement

Liaise with other FIU units, ACRM, the Business, CSIS, FIU Legal, GIU, Trade Surveillance, and Law Enforcement

Stralem & Company New York, NY

An investment advisory firm since 1966, Stralem began separately managed account (SMA) business in 2004. Part of a small team, I was key contributor in building the trading desk for growth to $4B assets under management and 400 separately managed accounts.

Senior Equity Trader, Trade Operations March 2011– May 2018

Model based trading for separate accounts and mutual funds; large trade programs for changes to model; algorithm and dark pool trading strategies; daily trading for cash flows and rebalancing

Conducted morning market recap with PM’s and analyst

Daily review of 400 accounts versus model portfolio targets; Socially responsible investment screening

Present technical analysis and execution strategies to investment committee; compliance review with CCO

Developed Managing sell side order flow/commission management for all brokerage relationships. Soft dollar and commission recapture reporting and review

Transaction Cost Analysis (TCA) / Best Execution

Managed a team of three overseeing daily operations and client correspondence

Advent Moxy daily drift report and rebalancing. Moxy block trading for 400 portfolios

Customized compliance trade restrictions for client accounts in Moxy and APX

Daily rebalancing with 50 custodian using Dataport and Advent APX.

Equity Trader, Trade Operations March 2005– February 2011

Managed all client trading and account reconciliation

Trade DTC affirmation and settlement

Asset allocation account management: Mutual Fund trading, Treasuries, Foreign Exchange, wires, checks, IRA, tax payments

Integrated order management and execution management systems

Opening new accounts/Know Your Customer (KYC)

Managing all corporate actions: dividends, reorgs, spinoffs, splits, and 13F filings

Building customized client performance reports

PROFESSIONAL EXPERIENCE Continued

FX Alliance New York, NY

Relationship Manager, Client Services July 2003–March 2005

Role of relationship manager for asset management and hedge fund clients

Trained clients on system trading functionality and liaised with market making banks and clients when necessary

Worked with other managers and sales team to generate more trade volume

Eight week assignment in Singapore to open new Client Center: tasked to train new client mangers to support Asia during business hours

Managed Salesforce product integration for the sales and relationship teams

Deutche Bank New York, NY

Associate, Corporate Banking October 2001–February 2003

Part of a small team assembled to manage new Bankers Trust client relationships

EDUCATION

Rutgers University New Brunswick, NJ

School of Professional Studies

Data Analytics Program, Certificate, 2018-2019

University of Rhode Island Kingston, RI

Applied Economics & Marketing Degree

College of Arts & Science, Bachelor of Science, June 2001

President Sigma Chi Fraternity, Varsity Hockey Team

LICENSURES/OTHER

FINRA License 63

FINANCIAL APPLICATION PROFICIENCY

Bloomberg, Advent Moxy, APX, Dataport, ITG Triton, Liquidnet, Bloomberg TradeBook, EMSX, Omgeo Oasys TradeSuite, FIX, Microsoft Office, Pershing NetX360 Advisor, Actimize Risk Manager, Broadridge TREG, Charles Schwab Institutional platform, various broker trading applications, NICE Actimize,

DATA ANALYTICS/PROGRAMMING

Python MySQL MongoDB Tableau

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