DANIEL HENNING
Woodridge,IL
Summary
Twenty three years of financial markets experience. Manager and licensed broker, trader, investor and risk manager. Possesses expert knowledge of equites, options, futures, cryptocurrencies and foreign exchange markets. Extensive knowledge of options pricing models, including Black- Scholes. Expert in reg-t, portfolio, day trade and span margining. Expert in risk management. Extensive order routing and trade resolution experience related to stock, equity options, futures, futures options and forex. Expert within regulatory compliance procedures regarding, futures, forex, investment product sales, equity and equity options products. Tableau and microsoft office proficient. Provides exceptional customer service with a client centric focus.
Overview
22
22
years of professional experience
Work History
Director of Compliance
Waystone
01.2024 - Current
- Draft SEC and CFTC filings and compliance manuals
- Conduct regular reviews of client compliance programs
- Manage all client deliverables and requests
- Manage in SEC examinations and draft basic responses
- Manage and complete ERA, RIA and BD registrations
Derivatives Futures and Options Trader
Henning Trading
08.2022 - 12.2023
- Trade complex futures, options, fx and cryptocurrencies with an emphasis on macro related trends and options gamma trading.
- Utilize various trading platforms, including trading technologies, pro opticus and think or swim to implement various trading and investing strategies.
- Use advanced technical and fundamental strategy systems to implement positions with an emphasis on maximizing returns and mitigating risk.
- Focus on various hedging and risk arbitrage strategies pertaining too interest rate spreads, commodity backwardation and contango spreads and intra commodity spreads.
Options Service and Support Manager
Robinhood
09.2021 - 08.2022
- Managed a team of licensed equity and equity options brokers.
- Mitigated client and firm risk through supervision of registered representatives interactions with clients and order placement.
- Improved through problem solving sessions and department collaboration firm customer service metrics and efficiencies.
- Liaison between client experience department and development team to ensure proper adjudication of technology issues and system interruptions.
- Implemented power user program to service high net worth and active clients to maximize customer experience, and optimize revenue for the firm.
Manager Futures and Forex Trade Desk
TD Ameritrade
09.2020 - 08.2021
- Manage a team of licensed brokers
- Provide team leadership and goals
- Handle client escalations and trade disputes
- Run overnight order routing systems to various exchange; including CME, ICE, CBOE, FX routing partners and Virtu financial
- Plan associate development and goal metrics
- Deal with account trade reconciliation and technology issues
Senior Specialist of Futures Margin Risk
TD Ameritrade
10.2016 - 09.2020
- Monitored firm wide risk in multiple futures markets
- Issued margin calls for client accounts
- Assisted compliance department assuring firm adherence to regulatory requirements for NFA and CFTC
- Developed risk models for firm and client risk
- Liaison to management team regarding futures risk
Sr. Specialist of Retail Trading
TD Ameritrade
02.2015 - 10.2016
- Placed complex stock, options, futures and forex orders for clients
- Assisted customers with think or swim, trade architect, web based and mobile trading platforms
- Educated clients on trading and investing strategies
- Assisted clients with requirements and meeting reg-t, portfolio as well as futures margin calls
- Monitored order routing systems
- Provided excellent customer service with a client centric focus
Commodities Trader
Self Employed
01.2012 - 02.2015
- Traded CME wheat, corn and soybean futures and options contracts.
- Developed strategies based on real-time analysis of CME live market data feed.
- Utilized Trading Technologies, Cunningham Trading Systems and Market Delta trading platforms to implement trading strategies.
- Created proprietary indicators to predict market movement based on historical market data analysis.
Trader and Broker
Henning Carey Trading
07.2002 - 01.2012
CBOT Options Trader
09.2008 - 01.2011
- Traded corn options contracts, with a focus on volatility arbitrage.
- Gained extensive experience in theoretical pricing models, including Black-Scholes.
- Mastered options trading software, including Pro Opticus and Options City's platforms.
- Developed trading strategies with an emphasis on futures and options arbitrage in relation to long and short gama positions.
CBOT Futures Trader and Broker
07.2002 - 09.2008
- Filled orders for outside brokerage customers.
- Created strategies for various clients including, but not limited to, farmers, speculators and end users including strategy design and implementation according to their market needs.
- Developed trading systems based on fundamental analysis as well as technical analysis.
Education
Bachelor of Arts -
University of Portland
Portland2001
Skills
- Stock and equity options trading
- Derivative futures and options trading
- Expert in options model pricing theory
- Trader mentoring experience
- Asset management
- Sales experience
- Team management
- Risk management
- Microsoft office and tableau proficient
- Reg-t and portfolio margin
- Expert in span margin
- Well versed in CFTC, NFA, Finra and SEC compliance rules and regulations
- Foreign exchange markets expert
- Licensed series 3, 4, 7, 9, 10, 24, 34, and 63 broker
Timeline
Director of Compliance
Waystone
01.2024 - Current
Derivatives Futures and Options Trader
Henning Trading
08.2022 - 12.2023
Options Service and Support Manager
Robinhood
09.2021 - 08.2022
Manager Futures and Forex Trade Desk
TD Ameritrade
09.2020 - 08.2021
Senior Specialist of Futures Margin Risk
TD Ameritrade
10.2016 - 09.2020
Sr. Specialist of Retail Trading
TD Ameritrade
02.2015 - 10.2016
Commodities Trader
Self Employed
01.2012 - 02.2015
CBOT Options Trader
09.2008 - 01.2011
Trader and Broker
Henning Carey Trading
07.2002 - 01.2012
CBOT Futures Trader and Broker
07.2002 - 09.2008
Bachelor of Arts -
University of Portland
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