Bob is a New York based Principal focused on the Regulatory and Capital Markets market place assisting clients to operationalize rules, regulations and controls. He has spent over 30 years in financial services and currently leads our Advisory Securities and Exchange Industry services.
Bob has comprehensive working knowledge of the traded markets and regulatory and compliance functions. He focuses on risk management, market surveillance, examinations, case management, trading systems, and listings compliance. At Deloitte, he has advised several exchanges on leading practices, process improvements, and leading uses of technology for decision support. Bob has extensive experience in systems architecture, application design, data architecture, development methodologies, securities operations technology, building enterprise data repositories and warehousing, and enterprise reporting solutions. He has performed numerous assessment projects to evaluate the effectiveness of the functions, compliance to rules, and value to the organization.
Bob leads a number of industry transformation programs including the project office for CAT NMS, LLC. to operationalize the CAT NMS Plan to comply with SEC Rule 613 Consolidated Audit Trail, Shortened Settlement Cycle and Initial Coin Offering (ICO) Market Structure implementation.