James Robertson
Houston,TX
Summary
Dynamic leader with a proven track record at Quantlab Financial, excelling in strategic planning and relationship building. Spearheaded compliance initiatives and enhanced team performance, fostering a culture of continuous improvement. Expert in decision-making and risk management, driving operational excellence and ensuring regulatory adherence while boosting employee engagement.
Overview
35
35
years of professional experience
1
1
Certification
Work History
Director of Trading Operations
Quantlab Financial, LLC
11.2024 - Current
- Developed high-performing teams by providing mentorship, guidance, and opportunities for professional growth.
- Enhanced team collaboration through regular communication, goal setting, and performance evaluations.
- Established a culture of continuous improvement by fostering open communication channels and empowering employees to voice their ideas.
- Cultivated a positive work environment that fostered employee engagement, increased retention rates, and boosted overall team morale.
- Strengthened internal controls by reviewing existing policies and procedures, ensuring compliance with regulatory requirements.
- Proactively identified potential risks and implemented mitigation strategies to minimize negative impacts on projects or business operations.
CEO/CCO Quantlab Brokerage, LLC
Quantlab Brokerage, LLC
01.2024 - Current
- Enhanced regulatory compliance by developing and implementing comprehensive policies and procedures.
- Provided expert guidance on complex compliance issues, enabling informed decision-making at the executive level.
- Actively participated in industry committees or associations for better understanding of trends affecting peers in similar roles.
- Evaluated emerging risks in the industry to proactively address potential challenges and maintain business continuity.
- Ensured timely completion of all regulatory filings, maintaining a strong reputation with governing bodies.
CCO QCMC and QCML
Quantlab Financial, LLC
08.2018 - Current
- Advised senior leadership on strategic initiatives from a compliance perspective, ensuring alignment with organizational values and objectives.
- Implemented a culture of continuous improvement within the compliance department by regularly reviewing processes, policies, and systems for potential enhancements.
- Conducted performance reviews against key metrics to evaluate the effectiveness of compliance program and identify any areas requiring attention.
- Led successful audits and examinations, demonstrating the company''s commitment to transparency and accountability.
Manager, Back Office
Quantlab Financial, LLC
08.2016 - Current
- Managed and motivated employees to be productive and engaged in work.
- Accomplished multiple tasks within established timeframes.
- Maintained professional, organized, and safe environment for employees and patrons.
- Enhanced customer satisfaction by resolving disputes promptly, maintaining open lines of communication, and ensuring high-quality service delivery.
- Resolved staff member conflicts, actively listening to concerns and finding appropriate middle ground.
- Cross-trained existing employees to maximize team agility and performance.
- Enhanced product quality by instituting rigorous quality control procedures, resulting in fewer customer complaints.
IT Manager
Quantlab Financial, LLC
01.1991 - 08.2018
- Developed custom IT solutions to address specific business needs, driving operational improvements and cost savings.
- Collaborated with other departments to help meet IT needs and properly integrate and secure systems.
- Reduced downtime by promptly addressing hardware and software issues, ensuring minimal impact on business operations.
- Optimized helpdesk performance through process improvements, enabling faster response times and increased user satisfaction levels.
- Managed vendor relationships for hardware, software, and services procurement, ensuring quality products at competitive prices.
- Oversaw technology budget planning and allocation to optimize resource utilization while meeting organizational objectives.
- Promoted collaboration between cross-functional teams by integrating disparate systems into unified platforms for improved communication and workflow efficiency.
- Managed network and system performance, conducting troubleshooting, security patching, and maintenance.
- Led a skilled IT team in providing exceptional technical support, fostering a collaborative environment that promoted professional growth.
- Spearheaded disaster recovery efforts during critical incidents, restoring systems functionality quickly to minimize downtime and maintain business continuity.
Education
Master of Science - Computer Science
Union College
Schenectady, NY06-1992
Skills
- Relationship building
- Strategic planning
- Verbal and written communication
- Decision-making
Certification
- [Area of certification] Training - [Timeframe]
Timeline
Director of Trading Operations
Quantlab Financial, LLC
11.2024 - Current
CEO/CCO Quantlab Brokerage, LLC
Quantlab Brokerage, LLC
01.2024 - Current
CCO QCMC and QCML
Quantlab Financial, LLC
08.2018 - Current
Manager, Back Office
Quantlab Financial, LLC
08.2016 - Current
IT Manager
Quantlab Financial, LLC
01.1991 - 08.2018
Master of Science - Computer Science
Union College
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