E-mail address: "webreferral" @ (this domain name)
Multi-faceted manager with a strong financial markets structure and regulation, technical, and entrepreneurial background. I thrive on the challenge of imposing order on the chaos at the leading edge of technological development.
Specialties: European financial markets structure and regulation. Compliance. Office startup. Project management. Java programming.
December 2014 to present: RGM Advisors, LLC, Austin, Texas, USA
Director of Compliance and Surveillance
Co-ordinate various restructuring activities. Direct and conduct compliance and surveillance functions for trading across multiple geographies.
2005 to 2014: RGM Advisors UK Limited, London, England
Business and Compliance Director; European Markets and Compliance Manager; General Manager, London
Opened and managed the office of the UK affiliate of a proprietary trading firm that applies scientific methods and computing power to in multiple global asset classes around the world.
- Set up the group's electronic trading infrastructure in the UK.
- Maintained relationships with the group's Europe-based trading partners including brokers, trading counterparties, exchanges and other trading venues.
- Monitored developments in markets, the regulatory environment and public policy in Europe, and recommended responsive actions for the group. Interacted with policy makers and regulators as appropriate.
- 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).
- 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
Joined the company to develop NewBACS,
a technology upgrade of the electronic funds transfer system at the heart
of the country's largest automated banking clearing system.
NewBACS is a robust J2EE application running in a WebLogic server cluster on a Solaris platform,
with a front
end based on Struts and Java Server Pages and an Oracle 9i database on the back end.
- Implemented a customer reports function for NewBACS based on the
Oracle 9iAS Report Services servlet. Wrote a SAX 2.0 based XML
handler to process results from the servlet.
- Joined the small crack team that completed and deployed the new automated system for
transferring Direct Debits and Standing Orders in the UK (ToDDaSO 4).
The team was set up in response to a disclosure from the
system integrator we were working with at the time that they were likely
to miss a deadline to start the new service by six months.
We completed the application in eight weeks, thus allowing BACS's
member banks to meet their regulatory obligations.
This system has been in successful live operation since autumn 2004.
- Served two months in India
as an expert in the NewBACS application while transferring knowledge about
the product to Voca's new development partner in Noida, near Delhi.
2001 to 2003: Palmerwheeler, London, England
Director of Development and software developer
is a high
productivity toolset for authoring and delivering
for the media and banking markets.
- With one other, created the toolset using J2EE technologies,
XML, and XSL Translations.
- Created an internationalized 3-tier application for a global media customer,
hosted on Windows servers with a Sybase back-end and a web front-end,
used by 1000 users in five languages.
- Implemented software engineering processes which enabled quick and repeatable
application deployment, and helped to get us back on track quickly after unforeseen interruptions.
1993 to 2000: Activerse (originally Active Paper), Austin, TX, United States
Co-founder and software developer
Activerse 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.
With two co-founders, built an organisation of 30 full-time staff.
Sold the handheld product line in 1996.
Sold the company to CMGI in 1999, generating a large return to investors.
- Desktop messaging software (Java, Windows)
- Managed the on-time release of the Ding! Switchboard server software.
- Led a 3-man project to adapt Ding! technology for
an urgently-needed notification feature which was deployed to a top Internet portal
10 weeks after work began.
- Handheld software (C, Macintosh)
- With one other, authored the Presto!Mail POP e-mail
client and the Presto!Links web browser, which together earned
several million dollars for the company.
- Developed and sold communicating software for Apple's Newton
- Moved development processes to the company Intranet—
a novel idea in 1996.
1991 to 1993: Evolutionary Technologies (ETI), Austin, TX
ETI's product, Extract, is a suite of Unix tools for automating data conversion
between any different
data access and storage systems, including relational databases.
- One of four C programmers on the startup team that created Extract
for Solaris, HP-UX and AIX platforms.
- Improved the speed of Extract's "grammar compiler"
tool 40-fold; ported it from Lisp to C.
- Led a four-person consulting team performing data conversion
at a customer site in France.
- Taught the revenue-generating Extract training course; wrote training materials.
1989 to 1990: Microelectronics and Computer Technology Corporation (MCC), Austin, TX
Member of scientific staff, Knowledge-Based Natural Language project
Member of a team developing a language understanding system
using object-oriented Lisp (CLOS).
Co-ordinated coaching and domestic and international racing as captain of Orion Rowing Club in London and as Racing Director of Austin Rowing Club in Texas.
Education and qualifications
University of Toronto:
Master of Science, Computer
University of Waterloo: Bachelor of Mathematics, Computer
Science, Dean's Honour List, 1987
FINRA (USA): Series 7 and Series 24 certifications, 2015
Chartered Institute for Securities & Investment (UK): Securities Certificate, 2012
Canadian Securities Institute: Canadian Securities
Course, First Class Honours, 1989
Sun Certified Web Component Developer for the Java 2 Platform, Enterprise Edition, September 2005
Sun Certified Programmer for the Java 2 Platform, April 2005
USRowing: Level 1 Coaching Certificate, 1999
- Native speaker of English, fluent French, basic Spanish. Limited classroom tuition in several other languages.
Last updated: 2016-01-27