Analyst Management

SALLY BATALION

*** **** *** ****** *****: **********@***.*** Home Phone 718-***-****

Brooklyn, NY 11218 Cell Phone 917-***-****

Seeking an analyst position in the financial services industry, utilizing over twenty years of demonstrated success and accomplishment. An experienced analyst with a focus on equity market-maker trading, compliance reporting, developing and implementing trade reporting and clearing procedures. Very energetic person, extremely dedicated and thorough worker. Always seeing a project to completion, and work well coordinating projects between people of various backgrounds.

PROFESSIONAL EXPERIENCE

Extensive experience with equity trading, reporting, and clearing. Work included order

handling, order flow arrangements, and application of SEC and FINRA rules. Strong knowledge of trade reporting via CTCI to the NASDAQ/TRF and to FINRA OATS. In depth understanding of different clearing relationships (i.e. QSR, AGU, ACT).

Selected Highlights:

• Worked with key personnel to integrate Regulation NMS requirements into the system (extensive knowledge of trade modifiers).

• Extensive experience and in-depth knowledge Order/Trade Reporting (i.e. NASDAQ/TRF)

• Developed, implemented, and maintained all aspects of OATS Reporting, from clock synchronization, maintenance of Books and Records, through Report Card review).

• Participated in TMMS Examinations, regulatory inquiries, writing of Written Supervisory Procedures, and review of FINRA Report Cards.

• Design test scripts used for Business Continuity Planning and all industry-wide tests.

SURGE TRADING, NEW YORK, NEW YORK JUNE 2009-NOVEMBER 2011

SENIOR BUSINESS ANALYST

• Coordinate between Senior Management, Traders and IT for all changes for the Order Management System.

• Providing trader support and troubleshooting for all OMS issues, including lost trades, invalid positions, wrong P&L, and clearing breaks.

• Troubleshoot FIX messages to research orders and executions for traders.

• Maintained and developed reports using SQL scripts for Compliance and Finance/Accounting departments.

• Created adhoc reports in Excel as requested by Trading, Client Services, Accounting departments and Senior Management.

• Review Surveillance Reports for accuracy, and implement additional reports and/or enhancements to existing reports.

• Program and implement new trade reporting message formats to NASDAQ TRF (aka ACT) to include new mandatory fields.

• Implementation of all new regulatory initiatives (i.e. split-ticket short marking, 30 second reporting, related market center).

• Writing documentation after gathering any new rule and regulation requirements including technical specifications for implementation.

• Review code in different languages (i.e. C#,C++,JAVA,scripts) to assist in debugging and write technical specifications and user guides.

• Major role in writing the Written Supervisory Procedures (WSP) for Market Making.

• Assist in Onboarding of clients via services bureaus such as BETA, Bloomberg, Brass, or clients that maintain direct connections.

• Interact regularly with INET, ARCA, NSX, BATS and other DMA points.

• Interact with clients and service bureaus to ensure all trade reporting and OATS requirements are in place.

• Daily review of OATS submissions, rejects, and mismatches.

• Programming for new OATS Releases (Reg Sho, all NMS stocks).

• Review all FINRA Report Cards (i.e. Market Order Timeliness, Best Execution, OATS Compliance, Reporting FIRM Trade Reporting, Reg NMS Trade-Thru Exemptions).

• Interact with our clients from a clearing perspective. Assuring all clearing documents are in place, analyzing and troubleshooting all trade breaks and clearing issues as they arise.

• Implement trade compression for clearing in order to reduce clearing costs. Saving the firm thousands of dollars a month.

BMIS, NEW YORK, NEW YORK JUNE 1990- MARCH 2009

BUSINESS ANALYST/DEVELOPER

• Supervised development and implementation of all Reg NMS changes, including ISO, self-help and other trade-thru exemptions.

• Set up all clients to clear AGU, to be matched and locked-in via NASDAQ intraday.

• Clear all foreign brokers’ trades by submitting DTC confirms to NSCC.

• Interact with back-office personnel to reconcile clearing breaks.

• Maintaining all data needed to satisfy Electronic Blue Sheet requests (i.e. execution destination.)

• Developed editor to update quotes sent to NASDAQ in their proprietary QIX format.

• Understanding of FIX Protocol tags ( i.e. ClOrdID, Rule 80A) to verify proper capacity for trade reporting and order ids use by OATS.

• Wrote documentation for the Business (User) and Technical areas.

• Maintain order and execution reports archived on WORM media, such as optical disks for Client Services and compliance purposes. Using Sungard’s StorQM Plus product.

• Development and implementation of OATS reporting processes beginning with OATS Phase I.

• Implement sending proprietary orders to Exchanges, ECNs and other DMAs.

• Implemented Riskless Principal trading.

• Supervised, developed and implemented Decimalization changes and upgrades.

• Supervised, developed and implemented Y2K changes and upgrades.

TECHNICAL SKILLS

Programming Language: PL1, C+, SQL

Operating Systems: Microsoft XP; Windows 7, Stratus VOS

Software: FIX 4.0 4.1 and 4.2, MS Word/Excel, Outlook, Sharepoint

EDUCATION

BACHELOR OF SCIENCE IN COMPUTER SCIENCE, 1983

Brooklyn College - Brooklyn, New York

PERSONAL

Family Activities

Willing to perform work related travel

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