Shane Swanson is currently Chief Compliance Officer of Thesys CAT LLC, the Plan Processor for the Consolidated Audit Trail (CAT). In this capacity, he is responsible for ensuring the CAT system is built and operating in a compliant manner. Swanson is also responsible for executing the CAT NMS requirements, including all compliance matters and operations surrounding market structure related to the platform. In his role, Swanson oversees the accuracy and reporting of the data, as well as the health of the system functionality of the CAT technology platform.
Swanson is an experienced financial services leader, General Counsel and Compliance Officer. He most recently served as Director of U.S. Market Structure at Citadel. Prior to that, he was at Citigroup Global Markets, Inc. as Managing Director and CEO of Automated Trading Desk Financial Services, LLC. Shane was also Partner, General Counsel, and Chief Compliance Officer of Eladian Partners LP.
Swanson holds a Juris Doctor from the University of South Carolina School of Law and a Baccalaureus Artium et Scientae from the University of South Carolina