Acccomplished broker dealer Regulatory professional with an extensive knowledge of Regulatory Reporting. Wrote and updated Regulatory processes and procedures to ensure internal compliance with policy and rules (e.g. SEA 15c3) and external reporting (e.g. short sales, customer margin and bluesheet requests), etc were accurate. A primary part of my responsibilities has been supporting the Regulatory reporting function, interacting with regulators, providing U.S. oversight for regulatory examinations and being a central contact for regulators.