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global head of regulatory transaction reporting resume example with 7 years of experience

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Jessica Claire
, , 100 Montgomery St. 10th Floor (555) 432-1000, resumesample@example.com
Summary

Senior securities industry professional with 15 years of Legal & Compliance experience and more than 25 years of general securities industry experience in market structure, trading technology, electronic trading, market access, market abuse, best execution, books and records, and regulatory transaction reporting. Advanced knowledge of technologies utilized throughout all phases of the trading lifecycle.

Unique mix of subject matter expertise across equity, fixed income and currency products as well as experience with both front office and back office operations.

Effective leader with a commitment to diversity and inclusion and a focus on service, mentorship, and teams.

Skills
  • Subject Matter Expertise Across an Many Laws, Rules, and Regulations
  • Control Design and Implementation
  • Market Structure, Trading Technology, and Trading Strategies
  • Problem-Solving
  • Relationship Building
  • Cross Functional Collaboration
  • Program Modification
  • Cross-Functional Collaboration
  • Policy Improvement Recommendations
  • Regulatory Compliance
  • Employee Development
  • Coaching and Mentoring
  • Improving Organizational Standards
  • Verbal and Written Communication
  • Corrective Action Planning
  • Regulatory Change Management
Experience
10/2022 to 02/2023 Global Head of Regulatory Transaction Reporting Assured Investment Management | New York, NY,
  • Oversaw the firm's regulatory transaction reporting program globally, including the Consolidated Audit Trail (CAT), Electronic Blue Sheets (EBS), FINRA/NYSE/NASDAQ TRF, FINRA ORF, TRACE, Swap Data Repository (SDR) MiFid 2, Securities Financing Transaction Reporting (SFTR), and EMIR
  • Established a risk based prioritization system for managing the regulatory transaction reporting development queue
  • Created a Target Operating Model for regulatory transaction reporting
  • Participated in regulatory transaction reporting governance forums
  • Provided guidance on questions related to regulatory transaction reporting requirements
  • Managed regulatory change projects
  • Signed off on release tickets related to regulatory transaction reporting
  • Reviewed and approved material business changes
  • Reviewed and approved responses to regulatory inquiries
  • Member of the committee that oversees the Citadel Order and Execution Specification (COES), a standard data model for all of the firm's trading activity
  • Served as the regulatory supervisor responsible for the firm's written supervisory procedures for regulatory transaction reporting
02/2016 to 02/2023 Deputy CCO and Deputy General Counsel Citadel Securities Americas Services LLC | City, STATE,
  • Provided legal advice, opinions and solutions regarding issues and risks on various transactional and regulatory matters
  • Argued clearly, logically and persuasively in written and oral form
  • Prepared persuasive legal memoranda, business requirements documentation, policies, and guidance citing evidence and legal authorities
  • Established the firm's breach management program to identify and assess conduct risk
  • Designed and implemented the Compliance Oversight Program which reviewed front office performance of WSPs for each quarter
  • Created management information quarterly to report on all second line oversight efforts
  • Created and presented a course in regulatory risk for the Firm's new joiners from University
  • Managed or contributed to myriad firm matters across an array of asset classes and regulatory requirements
  • Managed two Legal & Compliance teams responsible for coverage across the Citadel Execution Services equities business, the Citadel Securities Swap Dealer, Citadel Institutional Services rates business, and various Citadel Securities systematic trading businesses.
01/2018 to 10/2022 Chief Compliance Officer Citadel Securities Institutional LLC | City, STATE,
  • Reviewed and approved material business changes.
  • Provided legal advice to management regarding applicable laws, rules, and regulations
  • Advised supervisors and business lines on compliance requirements and supervisory control design
  • Maintained compliance frameworks, policies and documentation to support audits
  • Maintained and revised policy procedures for general operation of compliance program
  • Planned and executed compliance audits to check company policies, procedures and controls
  • Organized training programs to educate company staff on benefits and consequences of complying or defying regulations
  • Stayed abreast of applicable laws and state or federal regulation to report violations
  • Developed and implemented strategies necessary for minimizing risk of non-compliance
  • Monitored compliance risk controls to identify deviations and offer recommendations
  • Conducted reviews to foster ongoing compliance with federal and local regulations
  • Utilized risk management techniques and business knowledge to improve compliance programs
  • Liaised between regulatory agencies and internal departments to facilitate regulatory and related matters
  • Created and managed action plans to mitigate audit discoveries and compliance concerns
  • Monitored regulatory developments to communicate risks or opportunities to relevant groups
Education and Training
Expected in 05/2008 to to J.D. | Elisabeth Haub School of Law At Pace University, White Plains, NY, GPA:
Expected in 05/1993 to to Bachelor of Arts | English State University of New York College At Oneonta, Oneonta, NY, GPA:
Activities and Honors
  • Ken Heath Award - Recipient of the 2019 Ken Heath Award of the Women in Finance Section of the Securities Trading Association (STA).
  • The Ken Heath Award is given to men in the financial services industry who have demonstrated a commitment toward advancing the careers of women on Wall St.
  • New York State Bar Association (NYSBA) - 2015 Co-chair of the Diversity Internship Committee (DIC)
  • The DIC is a group within the Corporate Counsel Section of the the New York State Bar Association that placed law students from underrepresented backgrounds in internships in the legal departments of corporate sponsors.

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Resume Overview

School Attended

  • Elisabeth Haub School of Law At Pace University
  • State University of New York College At Oneonta

Job Titles Held:

  • Global Head of Regulatory Transaction Reporting
  • Deputy CCO and Deputy General Counsel
  • Chief Compliance Officer

Degrees

  • J.D.
  • Bachelor of Arts

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