• Routinely analyzes trading activity in area of primary responsibility for indications of potential violative activity.
• Conducts routine reviews and investigations into possible violations of relevant rules and regulations enforced by FINRA.
• Compiles and organizes information from a variety of sources to be used in the development of investigations of potential violative activity.
• Through the review / investigative process the Analyst resolves situations that may impact the integrity of Nasdaq or other markets.
• Develops a thorough understanding of the investigative techniques utilized in the respective area of primary responsibility and relevant rules and regulations enforced by FINRA performs preventive compliance functions.
• Presents investigative findings (orally and in writing) to management, and other constituents in an organized, concise and timely fashion.
• Utilizes computer resources and software applications for data analysis pursuant to investigation / review procedures.
• Interfaces with members, peers, management and others and provides excellent internal/external customer service in specialized area of regulatory responsibility.
Global Equity Fund
• Manage and maintain a $500,000 portfolio of the University’s Endowment focusing on macro-economic growth and international markets
• Build financial models using DCF and comparables analysis to pitch undervalued companies to invest the fund’s assets
• Constructed a portfolio in Excel by importing real-time stock-data from Google Finance to analyze trends and monitor risks
• Back-tested historical data to analyze multi-factor and momentum models
Senior Software Dev Analyst
• Designed 3 custom infrastructure projects for an Enterprise SharePoint installation, managed end-to-end process from requirements gathering, design, development, testing, and delivery
• Developed VBA scripts to automate updating a daily report to present system and customer metrics in both Excel and PowerPoint
• Created PowerShell scripts and Scheduled Tasks to automate maintenance across 20 servers
• Worked with 8 Software Engineers across 3 different teams to deliver applications and solutions to clients’ requirements
• Authored training guides and facilitated training for over 300 new clients to learn SharePoint 2010 and how to perform basic administration
• Conducted information seminars with third-party vendors to review and analyze third-party tools for integration into the systems infrastructure
• Streamlined administrative tasks by writing Powershell commands and scheduled batch files.
• Traveled on a monthly basis to meet with clients located on military bases spread across the US to gather requirements and implement solutions