As a Principal in the Trading and Risk Management Consulting practice, Tony has more than 20 years of experience in financial services leading the Securities Transformation and STP Practice for Financial Institutional clients. His consulting experience includes STP, strategy, ecommerce, process transformation, operational reviews and benchmark development for a number of Financial Institutions. His financial service compliance experience in various projects include:

• Major Financial Advisor Network - as part of a Self Clearing assessment developed a regulatory compliance statement that identified initiatives to close current and future compliance gaps. Issues considered in the analysis included new accounts, Customer Information Profile (CIP), AML, Blue Sky, SAR, MF breakpoints, trading rules, regulatory reporting and checks e.g. TRACE, OATS, FINCEN, OFAC & SEC books and records. Developed business case scenarios for self-clearing, mutual fund networking conversion and Omnibus accounting.
• Major International Broker Dealer - documented Institutional Account Opening issues and recommended solutions to reduce regulator risk and improve straight through processing.
• A regulator - developed business requirements for a web based insider trade reporting system
• Institutional broker - as part of an STP assessment produced a commentary on how their project would reduce their operational risk profile as it related to Basel II capital allocations.
• Clearing and settlement organization - assessed their capital adequacy for equity & debt clearing to industry best practices and standards.