Background

High performing investment professional with diverse background in trading, compliance, and operations on both the buy and sell side. Experience building out, launching and managing a hedge fund, including hiring employees and board members; choosing third party vendors; setting up IT and trading infrastructure. Extensive experience in developing and managing policies and procedures, surveillance and the overall compliance program.

Job experience

• January 2021 - present
  Vice President of Operations and Compliance
  Melvin Capital Management LP
  

  New York, NY, USA

  • Built out compliance program from scratch for long/short equity startup, which over a 6-year period grew AUM (across 7 domestic and Cayman funds and separately managed account) by over 10x
  • Develop, implement, manage, and enforce all firm-wide compliance policies, procedures, and framework required to ensure the fund operates in full accordance with the requirements of all relevant domestic and international rules and regulations
  • Oversee, maintain, and review the entire compliance program including but not limited to annual reviews and mock audits, testing of policies and procedures, and development and updating of the Compliance Manual and Code of Ethics
  • Surveillance – monitor trading and portfolio positions for 13F, 13G, 13H filings, international short filings; monitor and review electronic communications of all employees
  • Oversee third party research and alternative data vendors; perform due diligence, onboard, review services/data provided
  • Chaperone management meetings and expert network/consultant calls; manage relationship with expert networks, review and screen experts
  • Assist with maintaining relationships with the sell-side; help set trading budget, communicate broker vote results to sell-side
  • Review trading partners, open trading accounts, work with OMS provider to connect counterparties electronically
  • Develop and implement trade allocation policies and procedures across funds and managed account
  • Responsible for employee training – insider trading prevention, compliance, cybersecurity, phishing tests, onboarding
  • Assist with IT – help manage relationship with third party IT provider including overseeing on-site techs, order equipment, triage tickets, assist with longer term projects; manage Bloomberg relationship
  • Create and maintain Business Continuity Plan and Disaster Recovery Plan, work with third party vendor on cybersecurity (vulnerability and penetration testing)
  • Assist with HR function; develop and update Employee Handbook, manage discrimination and harassment program, interview candidates and review projects, onboard/off board employees
  

• October 2014 - January 2021
  Chief Compliance Officer
  Melvin Capital Management LP
  

  New York, NY, USA

  • Built out compliance program from scratch for long/short equity startup, which over a 6-year period grew AUM (across 7 domestic and Cayman funds and separately managed account) by over 10x
  • Develop, implement, manage, and enforce all firm-wide compliance policies, procedures, and framework required to ensure the fund operates in full accordance with the requirements of all relevant domestic and international rules and regulations
  • Oversee, maintain, and review the entire compliance program including but not limited to annual reviews and mock audits, testing of policies and procedures, and development and updating of the Compliance Manual and Code of Ethics
  • Surveillance – monitor trading and portfolio positions for 13F, 13G, 13H filings, international short filings; monitor and review electronic communications of all employees
  • Oversee third party research and alternative data vendors; perform due diligence, onboard, review services/data provided
  • Chaperone management meetings and expert network/consultant calls; manage relationship with expert networks, review and screen experts
  • Assist with maintaining relationships with the sell-side; help set trading budget, communicate broker vote results to sell-side
  • Review trading partners, open trading accounts, work with OMS provider to connect counterparties electronically
  • Develop and implement trade allocation policies and procedures across funds and managed account
  • Responsible for employee training – insider trading prevention, compliance, cybersecurity, phishing tests, onboarding
  • Assist with IT – help manage relationship with third party IT provider including overseeing on-site techs, order equipment, triage tickets, assist with longer term projects; manage Bloomberg relationship
  • Create and maintain Business Continuity Plan and Disaster Recovery Plan, work with third party vendor on cybersecurity (vulnerability and penetration testing)
  • Assist with HR function; develop and update Employee Handbook, manage discrimination and harassment program, interview candidates and review projects, onboard/off board employees
  

• September 2013 - October 2014
  Compliance Officer
  Point 72 Management
  

  New York, NY, USA

  • Responsible for monitoring electronic communications of analysts and portfolio managers
  • Determined whether information received by portfolio managers, analysts, and traders was material and/or non-public
  • Conducted surveillance around the firm’s most profitable positions, options activity and trading in close proximity to meetings with management of public companies
  • Monitored trading of various portfolio managers, including follow-up interviews to confirm the research and thesis supported the trading activity
  • Chaperoned expert network calls between investment professionals and consultants
  

• June 2008 - September 2013
  Trader
  Point 72 Asset Management
  

  New York, NY, USA

  • Equity/options trader for three Portfolio Managers in the Healthcare, Financial and Technology sectors
  • Prepared morning trading note for Portfolio Managers and Analysts consisting of overnight macro news, research changes, and stock portfolio news
  • Worked with Portfolio Managers and Analysts on idea generation, entry/exit strategies, and overall portfolio management using both fundamental and technical analysis
  • Executed both equity and option trades across a multitude of platforms, including but not limited to cash desks, Instinet, Arca, Liquidnet, proprietary broker algorithms
  • Closely monitored market action and stock price movement and relayed pertinent information on portfolio positions and other potential opportunities in the marketplace including clean-up pieces, order flows, and breaking news
  • Developed strong relationships with the sell-side to minimize slippage, generate alpha, and facilitate communication
  

Education

• NYU - Stern School of Business
  MBA
  

  2005 - 2008
• University of Michigan
  BBA
  

  1988 - 1992

• Chartered Financial Analyst
  CFA Institute
  

  September 2006 - present

  CFA Charterholder