Vice President - Capital Markets
Resume:
PETER FRAZZETTA
******@*****.***
US Bank – Cincinnati, OH
Vice President, Compliance, Head of Capital Markets Surveillance 4/2020-Present
● Responsible for Trade Oversight, Surveillance Program and Risk Framework
● Responsibilities include all of surveillance on CFI and FX trading. Daily and Monthly reporting of activities. Assist Derivative Product group in reporting and monitoring of derivative trading.
● Liaise with traders to advise on market abuse regulations and private/public information barriers covering Fixed Income, FX and Securities Lending transactions.
● Perform on-going trade monitoring using industry surveillance tools to assist with trade errors, breach of thresholds for further investigations, assessments and documentation.
● Provide guidance and process enhancements to be implemented, tested and evaluate controls.
● Conduct proper due diligence of new and existing trading counterparties and perform ad hoc in depth assurance reviews of trading processes.
● Advise on conduct and compliance risks for employee personal trading.
● Manage and evaluate post trade compliance alerts, validate exceptions. RED IVY INVESTMENTS – MANSFIELD, MA
EXPERIENCE Portfolio Manager 9/2017-3/2019
● Develop Macro strategies to properly manage funds in the Forex, Equities and Options markets. STATE STREET – BOSTON, MA
Vice President, Head of Market Surveillance 10/2014-7/2017
● Supported all aspects of building out the Market Surveillance Team. Implemented the FX Risk Framework Enhancement Program. Developed and oversaw project plans. Communication surveillance using Global Relay, NICE Voice, Symantec Compliance Accelerator and Bloomberg Compliance tools. Enhanced the program to include all asset classes and Portfolio Managers.
● Analysis of trading activity and e-communications to identify unusual activity and potential compliance issues, including MAD MAR reporting. Contributed to Global Code of FX requirements.
● Interfaced with trading desks and compliance officers to review/resolve potential compliance issues.
● Worked closely with global surveillance agile and technology stakeholders on data analysis, requirements, prototyping and other testing for new and enhanced surveillance reports, analytics and processes.
● Created Daily and Monthly Management Reporting Portfolio Managers and Senior Management.
● Directly involved in implementation of ITG analytics for TCA and Trade Surveillance. ROSE CAPITAL, PRIVATE CTA – NEW YORK, NY
CO-Portfolio Manager 11/2012-1/2014
● Utilized qualitative and quantitative judgments to rebalance FX strategy based on evolving global macro-economic conditions.
● Partnered with Business Development team to increase assets under management. CHIMERA SECURITIES – NEW YORK, NY
Portfolio Manager 4/2012-9/2012
● Strategically planned, executed and monitored FX execution sales and trading for agency business. NORTHWESTERN MUTUAL – STATEN ISLAND, NY
Financial Representative 3/2011-12/2011
● Licensed to sell Life and Health products to individuals and businesses. WELLS FARGO – NEW YORK, NY
Vice President, FX Trading & Sales 7/2008-12/2010
● Quoted and executed G10 spot and forwards, options, futures. LATAM and Asian EM.
● Instrumental in providing strong liquidity to domestic and international clients while maintaining company and desk risk limits.
● Executed orders in a timely and accurate manner; ensured proper settlement.
● Leveraged existing relationships with corporate clients and major banks to identify and pursue broader business opportunities through active communication, targeted networking and stellar referrals.
● Ensured compliance with corporate quality assurance standards and regulatory agency mandates. GAIN CAPITAL ASSET MANAGEMENT – BEDMINSTER, NJ
Vice President, FX Portfolio Manager 7/2000-7/2008
● Co-managed FX currency portfolio; assets under management totaling $250M+.
● Directed and oversaw the full scope of FX trading, execution, asset and risk management.
● Traded proprietary funds in all currencies including G10 spot, options and emerging markets.
● Consistently attained desk-wide ROE, ROA and P&L objectives.
● Analyzed market movement and economic trends ensuring lucrative execution prices.
● Exercised strong problem resolution and analytical abilities; initiated critical activities to uphold the firm’s positive reputation and ensured a smooth running operation. SUMITOMO BANK LTD – NEW YORK, NY
Asst. Portfolio Manager/Corporate, Money Desk 6/1996-6/2000
● Provided trading support to U.S. and Japanese corporate clients.
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EDUCATION ST. JOHN’S UNIVERSITY – STATEN ISLAND, NY Bachelor of Science Degree in Sports Management 5/1996 SKILLS MS Office, Bloomberg, Reuters and various e-commerce trading platforms
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