Kevin Ioannacci

To obtain a senior market surveillance position at a Designated Contract Market (DCM) or Swaps Execution Facility (SEF) and contribute to an innovative team of individuals with similar goals for success. Extensive experience in the financial markets, including strong market surveillance skills and deep knowledge in numerous financial products, including the derivatives markets and fixed income markets, through prior sales positions at various major banks and broker dealers. Demonstrated ability to independently investigate and review surveillance alerts, conduct investigations and prepare required summaries, and develop and maintain good relationships with internal team members and external contacts, across all levels.

Director of Market Surveillance at Intelligent Medicine Exchange (IMX, LLC) (2022-10 – Present)

Designated as a DCM by the CFTC in January 2024, IMX seeks to launch as a futures exchange that allows its market participants to hedge and invest in the healthcare economy by allowing them to manage risk across the healthcare ecosystem. My duties since joining IMX include assisting the IMX chief risk officer in creating the IMX Market Surveillance Department and contributing to creating the Exchange's Compliance Program; ensuring the IMX rulebook aligned with all CFTC DCM requirements; developing written investigation procedures, compliance log documentation and error trade policies; establishing a disciplinary action protocol; and creating/reviewing Code of Conduct and Ethics documentation. Prior to IMX's DCM designation, I played a key role in a critical presentation to the CFTC Division of Market Oversight by demonstrating proficient use of IMX's contracted electronic surveillance platform, Eventus/Validus, which utilizes advanced investigative tools to capture actionable real-time and T+1 alerts for analysis.

Trade Specialist - Market Regulation Department at NFA (2013-11 – 2022-10)

NFA offers regulatory services to numerous DCM and SEF clients, including trade practice and market surveillance, daily audit trail reviews, summary investigation write-ups, and recordkeeping, which requires extensive knowledge of the DCM and SEF clients' rulebook. My duties included monitoring and analyzing trade activities on a T+1 basis, including orders, executions and other trade-related data, using NFA's trade surveillance solutions (SMARTS), to detect suspicious trade activity and potential misconduct, mainly involving NFA's SEF clients. I also analyzed alerts and reviewed trade exceptions to monitor for compliance with SEF/DCM/CFTC requirements, documented findings as appropriate and escalated potential misconduct detected.

As an NFA Trade Specialist, I also managed over 200 investigations (with approval from the SEF/DCM or by its request), which included collaborating with senior internal Market Regulation staff regarding findings and recommendations, and interacting and coordinating with SEF/DCM personnel and their third-party legal teams regarding investigation findings.

Master of Science in Financial Markets and Trading – Illinois Institute of Technology

Bachelor of Arts in Geography and Environment – Elmhurst University