Engaged by an International bank to analyze their current securities processing platform. Analyzed current functionality vs newer functionality available in the market Provided recommendations to improve processes and advised which projects should be undertaken Currently

Engaged by a Global broker dealer to establish a new US broker dealer for its new global prime brokerage business. Established the new US broker dealer Coordinated the clearing and settlement approvals in the US

Engaged to help a US broker dealer move to self-clearing Completed and filed the US broker dealer Clearing Member Application for self-clearing approval Engaged in and supported a vendor search for US broker dealer securities

Engaged by a large US bank / broker dealer to establish their Reg BI process Wrote their written supervisory procedure for this new requirement Conducted REG BI UAT testing Ensured the client’s Form CRS was

Engaged by a US broker dealer to assist in the remediation of their blue sheet reporting process Analyzed their current procedures Determined that we needed to simplify their multiple databases to resolve their issue Wrote