Trade Surveillance and Market Health Senior Associate - Coinbase, Inc. - New York, NY
(2021-01)
- Monitor Coinbase Markets for instance of potential market manipulation such as Spoofing, Layering, Wash Trading, etc.
- Implemented and manage Prime Trade Surveillance program responsible for reviewing all activity on Coinbase Prime platform to ensure adherence to Prime Trading Rules
- Leveraged advanced trade surveillance data and market-integrity audits to secure global licenses (MiCAR, AFSL, OCC), transforming technical compliance into a strategic driver for international expansion and regulatory trust.
- Worked with third party vendor to implement surveillance instances for various Coinbase Markets including Derivatives, Futures, Tokenized Equities and Prediction Markets
- Engaged with Congressional lawmakers and regulatory bodies (SEC/CFTC) to demonstrate the efficacy of Coinbase's surveillance framework, providing the technical evidence needed to shape future digital asset market structure legislation
- Advised Public Policy team to draft legislative briefings that utilized trade surveillance data to advocate for 'fit-for-purpose' crypto regulation and clarify the jurisdictional boundaries between commodities and securities
- Provide critical advisory to Product teams on managing market-impact risks during the rollout of new trading instruments and platform features
- Designed risk-based monitoring protocols for institutional staking and custody services, identifying and mitigating idiosyncratic risks such as slashing events and unauthorized asset movement
- Collaborate with asset issuers and market makers to optimize liquidity and order book depth for all Coinbase-listed assets
- Coordinate new asset launches by establishing liquidity and depth benchmarks to facilitate efficient price discovery and minimize opening-day volatility
- Utilized Claude and LibreChat to streamline anomaly detection analysis and accelerate the drafting of technical surveillance documentation
- Supported Surveillance Sharing Agreements (SSAs) for major Spot ETF issuers, providing the market integrity data necessary for the SEC approval of Bitcoin and Ethereum ETFs.
- Leveraged trade surveillance data to respond to 100+ regulatory inquiries, contributing to the successful dismissal of SEC litigation and securing MiCA-compliant licenses in the EU.
- Implemented machine learning-based surveillance models that reduced false-positive alerts by 30% while maintaining 24/7 oversight
- Adapted surveillance model to detect "Market Abuse" as defined by European law, enabling enabled Coinbase platforms to scale into new jurisdictions by passing rigorous local regulatory audits
- Partnered with Forensics and Financial Crime teams to integrate trade surveillance data with on-chain analytics, enhancing the detection of sophisticated fraud schemes and account takeovers
- Manage the oversight of employee personal trading across equity (COIN) and digital assets, ensuring strict adherence to internal policies regarding Material Non-Public Information (MNPI)
Capital Markets Surveillance Associate – Fixed Income - Cantor Fitzgerald and Co. - New York, NY
(2019-07 - 2020-12)
- Conduct daily surveillance and oversight of Fixed Income Trading Desk to ensure all activity is correctly reported according to TRACE and MSRB requirements
- Advise Fixed Income Sales and Trading desks on matters ranging from rules and regulations, to trainings and registration statuses
- Identify instances in which trades are unmatched or entered after the 15-minute TRACE reporting period and coordinate with Fixed Income Middle Office to amend
- Draft and implement Prime Brokerage Surveillance Review Manual by identifying surveillance needs within the business line after discussing with business heads, middle office and operations
- Monitor electronic communications (i.e. email, Bloomberg chat, etc.) to ensure the appropriate handling of material non-public information
- Review Personal Account Trading report to identify and escalate and potential conflicts of interest or possible instances of insider trading
- Review voice recordings from FX Trading Desk in order to monitor for potential violations of applicable rules and regulations, specifically to ensure compliance with CFTC and NFA requirements
Regulatory Compliance Officer - Jefferies LLC - New York, NY
(2017-03 - 2019-06)
- Provided timely inquiry and exam responses issued by FINRA, SEC, NFA, and. CFTC
- Assisted Global Head of Regulatory Policy and Affairs with the development of process improvements, including documentation of procedures and mitigation of operational risk
- Reviewed inquiry findings with appropriate Product Compliance Officers to flag/reports instances of suspicious activity
- Performed various testing of Firm policies and procedures to be included in annual 3130 Report
- Conducted daily oversight of Equities Sales and Trading via various Reg NMS surveillance reviews
- Utilized SharePoint site for purpose of maintaining firm-wide Policies and Procedures library, Branch Inspection Calendar, Exam response calendar and Regulatory Commitment tracker
- Developed automated Electronic Blue Sheet submission BOT by collaborating with outside vendors and middle office IT to draft process design document and perform UAT testing prior to implementation
Analyst, Commodities Derivatives - Morgan Stanley Capital Group - New York, NY
(2016-07 - 2017-02)
- Analyzed counterparty contracts to identify potential liabilities in order to avoid costly disputes
- Received trade confirmations from brokers and counterparties, identify discrepancies and communicate with traders to facilitate the amendment process
- Utilize Vlookup and Pivot Tables to organize bulk index trades, used daily to draft index contracts
- Assembled new quote and spread descriptions for the Corporate Marketing, Natural Gas Desk and Power desk to execute using ISDA price source provisions
- Ensured accuracy of deal economics by communicating with Commodities and Fixed Income Trading Desks on post-trade execution booking
Intern, Global Banking & Regulatory Compliance - HSBC Securities (USA) Inc. - New York, NY
(2015-06 - 2015-08)
- Reviewed assigned global firms to determine their US touch points as well as all relevant SEC filings using Bloomberg Terminal
- Assisted US Control Room with merger and acquisition advisory activities via researching M&A developments within the healthcare industry to identify any potential conflicts of interest between HSBC and their clients
- Monitored HSBC large equity stakes for compliance with Bank Holdings Company Act to identify which HSBC Bank holdings must be added to restricted list
