Teams at ABN AMRO Clearing USA LLC

Support firm-wide compliance by managing employee registration/licensing (FINRA/NFA), maintaining compliance databases, tracking attestations and filings, assisting exams and training, coordinating cross-departmental compliance matters, and documenting projects and follow-up actions.

Ensure accuracy of client trading by reconciling equity market breaks, investigating discrepancies, preparing and submitting regulatory reports, coordinating remediation, collaborating with cross-functional teams and regulators, leveraging data analysis to identify root causes, and partnering with technology to automate and improve reconciliation and reporting processes.

Lead and manage the derivatives operations function, overseeing futures/options clearing, trade allocation, physical delivery, exception management, controls, and process improvements. Drive risk management, regulatory readiness, automation, metrics-driven decision making, stakeholder collaboration, and team development in a high-volume, time-sensitive environment.