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CLARK
73 Old Depot Road (mobile) 802.681.8432
Arlington, VT 05250 kc7c571a@westpost.net
SALES & EQUITY TRADING / COMPLIANCE OFFICER
Equity Trading: More than 7 years of experience implementing
profitable equity trading strategies and managing day-to-day
operations. Skilled in matching trades to objectives through market
analysis.
Compliance Experience: Extensive practice in regulatory and internal
policy compliance including role as Chief Compliance Officer.
CORE COMPETENCIES
Equity Trading Block Trading o Program Trading o US & International
Trades o Sell Side o Hedge Funds o Private Equity
Compliance FINRA o Ethics Procedures o 3012 Compliance o WSP Review o
Privacy Notices
Account Management Client Relations o Account Expansion o Account
Retention
Operations Strategic Planning o Accounting o Finance Management o
Financial Statements Payroll o Vendor Management o Operational
Streamlining o Staff Management
EXPERIENCE & ACCOMPLISHMENTS
ALTRUSHARE SECURITIES -- Manchester, VT 2008-Present
Nonprofit sell side institutional trade desk focusing on equities
trading for large institutions including pension funds; staff of 7.
Co-CCO o CFO o Equity Trader
Steer strategy for block and program trades to maximize returns,
developing algorithms and working with floor brokers to obtain best
prices. Execute trades using NYSE floor and dark pools. Hold dual
executive leadership responsibilities: review trading activities to
ensure compliance with regulations and ethics program, and direct
firm's accounting and finance functions. Write business continuity
plan, update WSP, and monitor outside trading accounts and
correspondence. Partner with vendors to deliver operational
efficiencies.
* Client Relations. Secured 6 million shares for trade after
revitalizing relationship with client whose trader left the
company.
* Volume Trading. Succeeded in single-handedly delivering firm's
third largest trading day without assistance of other traders.
Completed 300 separate trades including block and small cap
trades.
* Operations Leadership. Optimized firm's daily and monthly
procedures by delegating routine tasks to junior employees,
freeing time of senior employees to tackle large projects and
increase sales.
BATTENKILL CAPITAL -- Manchester, VT 2005-2006
Financial services firm offering institutional trading, fund of funds,
research, and investment banking.
Operations Manager o Trader
Advanced rapidly within firm, with fast-track career from office
manager to principal. Performed equity and sales trades of both blocks
and baskets. Consulted with clients regarding soft dollar trading,
instructions, and new trading position ideas. Held additional
responsibilities for operations, ensuring proper clearing of trades
and assigning of credit, and partnering with clearing firm to resolve
problems.
* Relationship Building. Strengthened communication between upstairs
trading desk and NYSE trading floor, ensuring continual flow that
was critical in a fast-paced environment.
* Major Competitive Win. Played pivotal role in capturing investment
banking deal for angel funding project.
Member of MENSA
FINRA Conference: attended 2009, 2008, 2006