Kirk Larsen

Trading and Financial Compliance.

• Analyzed option trading activity, on a case-by-case basis, for indications of potential securities violations
• Impact the integrity of all markets by conducting reviews, trading tests and investigations into possible violations of the securities laws, rules and regulations enforced by FINRA
• Compiled and organized information from a variety of sources and present investigative findings (Orally and written) to management, legal and other constituents
• Reviewed processes and evidence for compliance with FINRA 5310, regular and rigorous factors of execution quality, and disclosure of order routing
• Conducted CAT submission data integrity test and processes controls review
• Tested WSP's and order records test for compliance with REG SHO
• Researched securities rules/FAQs//No Action Letters/ Cautionary Action Letters
• Evaluated and updated guidance for examination reviews
• Developed tailored requests and performed in person interviews for information discovery
• Prepared exam findings with regulatory violations for legal review
• Key participant for multiple On the Record (OTR) dispositions
• Regularly mentor members in the Trading and Execution's options group utilizing derivatives trading knowledge
• Utilize computer resources and software applications for data analysis pursuant to investigations and review procedures
• Interface with members, peers and management to provide feedback for new and existing examination reviews

• Responsible for all aspects of trading, pricing and risk management in as many as 50 single stock equity option classes covering all economic sectors
• Formulate trading strategies for opening and existing positions
• Experienced in trading difficult to borrow securities, event driven trading strategies and valuating volatility and skew curves
• Maintain and hedge long term positions lasting as long as 2 years
• Use proprietary automated trading platforms to create and maintain positions
• Provide markets and liquidity in equity options to various inter-dealer brokers and exchange brokers
• Responsible for risk management and managerial oversight of 4 firm traders accounts

• Manger of 6 employees providing stock execution service to 125 floor traders
• Executed stock orders electronically and verbally to NYSE floor brokers
• Established and maintained relationships with existing customers
• Managed the daily morning stock breaks firm wide
• Performed employee reviews on a semi-annual basis