Terence McBride

• Interpret new or updated regulations and implemented required updates to supervisory procedures and desk control to ensure compliance with SEC, FINRA, and exchange rules • Develop and maintain WSPs covering surveillance, trading supervision, and books and records obligations • Lead 3130/3110 compliance programs, including annual reviews, CEO Certification, and firmwide risk assessments • Respond to FINRA and SEC exams and inquiries with complete, timely submissions and successful resolutions • Conduct internal investigations of potential rule violations and coordinated corrective action plans • Partner with technology, operations, and trading teams to enhance surveillance systems and implement regulatory changes • Manage CAT/CAIS trade reporting accuracy, coordinating with vendors to remediate reporting gaps

605/606 reporting/Best Ex/Timeliness Compliance Generalist with Trading and Operations experience

• Built options compliance program and managed the establishment of policies and procedures • Composed new Written Supervisory Procedures for options trading and audited existing SOPs • Ensured timely compliance direction for day-to-day retail trading-desk functions • Examined TRACE downloads to identify unmatched trades and rectified errors • Reviewed fair pricing exceptions. Requested clarification, price modification as warranted • Managed Bloomberg chat reviews in coordination with management. Logged chats, escalated issues as needed • Supervised and trained new hires in compliance policies and procedures • Assisted in all aspects of FINRA inquiries

A Sales and Trading professional with years of experience in listed and OTC options dealing with PB, Hedge Funds, Pensions, and Mutual Funds. More recently I have broadened my knowledge base by working with AES (algo trading) and also Equities and Capital Markets. Recognized for reliability, flexibility, and communication skills to maximize results in a challenging work environment.

Became lead sales trader for large PB acct on all aspects of option trading. Later adding responsibility as Trading Operations Manager. In that capacity I coordinated between Trading, IT, and Operations on daily issues and participated in meetings to establish new initiatives and projects. Also trained and led a middle office team to streamline settlement and reconciliation. Oversaw implementation of firm-wide rollout of trading platform to input new orders and book them when completed.

• Managed roll out of new trading system, combined front and back office applications resulting in increased margins, productivity and decreased errors • Collaborated with compliance to codify and implemented procedures and trained personnel in new policies • Expanded execution points through connectivity to domestic and international markets

• Managed largest account and team providing dedicated option coverage resulting in a consistent increase in revenue • Provided overnight coverage for International Desk and executed at appropriate international exchanges • Maintained Canadian equity and options orders, confirmed new orders, amendments, cancellations

Prospected for new clients through cold calls, office visits, and referrals from established centers of influence. Formulated asset allocation strategies and developed investment portfolios for clients. Identified opportunities for cross-selling insurance and other value-added products. Conducted comprehensive portfolio reviews to evaluate objectives and portfolio performance.

cum laude