E-mail address: "webreferral" @ (this domain name)
Doer and manager with a strong financial markets and regulation, technical, and entrepreneurial background. Throw me at your technology, trading, or regulatory problem or project, and I'll put order around it, solve it, and keep it ticking over smoothly for however long you need me to. Perseverance, thoroughness, attention to detail, and meticulous record-keeping are my hallmarks.
Specialties: Financial markets compliance and surveillance. Global financial markets and regulation. Office startup. Stretching the limits of new technology platforms.
Financial industry experience
2005 to present: RGM Advisors, LLC, Austin, Texas
Director of Compliance and Surveillance
RGM Advisors UK Limited, London, England
Business and Compliance Director; European Markets and Compliance Manager; General Manager, London
Served the changing requirements of a technology-based proprietary trading firm during a twelve-year time period. Over time, managed the firm's entry into, operations in, and exit from numerous markets and geographies, its adaptation to changing market structure, regulations, and technology, and its compliance with contractual and regulatory obligations.
- In US and Japanese Equities markets and European Equities and Futures markets, managed compliance changes resulting from new regulations and changing regulatory priorities, internal and external technology upgrades, and the broker-dealer's entry into and exit from various geographical markets and asset classes.
- Managed regulatory surveillance obligations of a US broker-dealer registered federally with the SEC and with twelve Self-Regulatory Organizations.
- Upgraded supervisory procedures, automated processes, and software-assisted workflows, scaling them to new trading systems, new markets, and new asset classes. In the USA, streamlined the broker-dealer's compliance processes for records retention, trading software deployment, trading surveillance and email surveillance.
- Monitored developments in markets, the regulatory environment and public policy in Europe and the USA. Recommended responsive actions for the group. Interacted with trade groups such as FIA EPTA and FIA PTG, policy makers, and regulators as appropriate.
- Opened and managed the UK office; managed two office moves and the office closure; served on board of directors of two UK entities.
- Set up the group's first electronic trading infrastructure in the UK, including datacenters and telecommunications. Set up and maintained relationships with the group's Europe-based trading partners including brokers, trading counterparties, exchanges and other trading venues.
- Managed compliance with relevant rules and regulations of the group's European trading. Responded to compliance related communications, including audits, from exchanges and regulators.
- Interfaced with UK Visas & Immigration (former UK Border Agency) as the firm's primary contact
- In early years, monitored, controlled, and risk-managed the group's electronic trading systems in Europe, and globally during UK trading hours, and supervised UK based staff responsible for support of our trading systems and IT infrastructure in Europe.
2003 to 2005: Voca (formerly BACS), London, England
Senior applications support analyst
- Developed and maintained functionality in NewBACS,
a technology upgrade of the electronic funds transfer system at the heart
of the country's largest automated banking clearing system.
- With a small, crack team that completed and deployed a new automated system for
transferring Direct Debits and Standing Orders in the UK (ToDDaSO 4).
In an 8-week sprint after a vendor missed a deadline,
saved our customers, all of the country's biggest banks, from defaulting on their regulatory obligations.
- Spent two months of knowledge transfer, in my role as a NewBACS application expert,
to the company's new software development partner in Noida, near Delhi, India.
- Technologies used: J2EE, WebLogic, Oracle 9i, Struts, Java Server Pages, XML.
Palmerwheeler, London, England
Director of Development and software developer
- Co-created a high
productivity toolset for authoring and delivering
for the media and banking markets.
- Created an internationalized 3-tier application for a global media customer,
used by 1000 users in five languages.
- Implemented a software engineering process for quick and repeatable
- Technologies used: J2EE, XML, XSL Translations, Sybase, Windows
Activerse (originally Active Paper), Austin, TX, United States
Co-founder and software developer
With two co-founders, built an organisation of 30 full-time staff.
Sold a product line of Internet clients for handheld computers for a seven-figure sum.
Sold the company to CMGI for an eight-figure sum that provided a sizeable return to investors.
- Created award-winning applications such as
Ding!, an early entrant in the "Instant Messaging" product category,
and the Presto! Internet clients for Sony MagicLink devices,
including the first handheld consumer web browser.
- Technologies used: C, MacOS, several early handheld operating systems (Apple Newton and General Magic's "Magic Cap")
- As a member of scientific staff at an Austin-based software research consortium, extended a knowledge-based artificial intelligence system for natural language understanding. Technologies: object-oriented Lisp (CLOS).
- At the research consortium's first spinoff company, developed tools for automating data conversion between any source and destination data access and storage systems, including relational databases. Led numerous on-site and customer-site consulting and customer training projects in the USA and one in France, and wrote training materials. Technologies: Unix (various), C, Lisp.
Education and qualifications
University of Toronto:
Master of Science, Computer Science
University of Waterloo: Bachelor of Mathematics, Computer Science, Dean's Honour List
NASAA (USA): Series 63 (Uniform Securities Agent State Law Examination); current
FINRA (USA): Series 7 (General Securities Representative Exam) and Series 24 (General Securities Principal Exam); both current
Chartered Institute for Securities & Investment (UK): Securities Certificate; not current
Canadian Securities Institute: Canadian Securities Course, First Class Honours; not current
Sun Certified Web Component Developer for the Java 2 Platform, Enterprise Edition; not current
Sun Certified Programmer for the Java 2 Platform; not current
USRowing: Level 1 Coaching Certificate; not current
- Languages: Native speaker of English, fluent French, basic Spanish. Limited coursework in several other languages.
Last updated: 2017-08-29