Jonathan Glacken, ALM, PMP

Directed comprehensive business transformation initiatives across the enterprise to optimize capital markets oversight by implementing standardized reporting frameworks and best practices.

• Led cross-business unit initiatives focused on workflow optimization, reporting enhancements, and insight generation.
• Led development of KPIs and an interactive dashboard consolidating data across 1,000+ examinations and investigations monthly; eliminated 90% of manual data contextualization effort and accelerated risk identification.
• Identified and piloted AI-enabled analytics opportunities using automation, NLP, and text analytics to reduce reporting redundancy 67% and manual processing touchpoints by 90%.
• Partnered with analytics and metrics teams to align efforts and reduce research and analysis cycle time from 2+ weeks to same-day delivery for Human Resources, Enforcement, Examinations, and Investigations stakeholders reducing risk.
• Delivered executive-level summaries highlighting insights, risks, gaps, and recommendations for senior leadership.

Achieved timely and compliant responses to regulatory inquiries from government agencies including DOJ, SEC, FBI, and CIRO. Cultivated high-performing cross-functional project teams of 5-8 professionals, enhancing team capabilities through dedicated mentorship.

• Managed intake and prioritization of 400+ regulatory inquiries over nine years from DOJ, SEC, FBI, and international agencies aligning internal teams and stakeholders.
• Reduced average inquiry response cycle time by 50%, significantly lowering regulatory exposure, by redesigning inquiry workflows and improving stakeholder coordination.
• Directed cross-functional teams (5-8 professionals) across legal, compliance, technology, and operations.
• Designed an enterprise monitoring framework in partnership with Corporate Risk Management to track the return-to-office.
• Led end-to-end process transformation initiatives including requirements definition, workflow mapping, and UAT.
• Earned multiple FINRA Special Awards recognizing innovation, analytics expertise, and collaborative leadership.
• Developed and delivered six enterprise training programs on data analytics and executive-level presentation skills.

Executed detailed regulatory examinations for more than 50 broker-dealer firms, focusing on adherence to options and equities trading supervisory controls and regulatory reporting requirements.

• Led complex examinations assessing compliance with securities laws, market abuse regulations, information barriers, and supervisory control requirements; delivered executive-level findings and remediation recommendations.
• Evaluated trade surveillance, order management, trade capture, regulatory reporting, and information barriers.
• Conducted data-driven testing of order lifecycle activity (orders, executions, market data) to identify risks.
• Led cross-functional examination teams to enhance regulatory compliance coordination.