William Harper

Dynamic professional with extensive experience within the financial industry, excelling in regulatory compliance, sales supervision and trade surveillance. Proven track record in team leadership and risk assessment, enhancing surveillance capabilities and workflow design. Adept in SQL and data analysis, driving process optimization and fostering cross-functional collaboration to achieve organizational goals.

• Awarded the President's Award three times and nominated once, recognizing outstanding performance and contributions.
• Led the design and implementation of sophisticated SQL-based alerting systems, detecting market manipulation, insider trading, and ensuring compliance in annuity and insurance sales.
• Architected and deployed comprehensive alerting systems from conception through maintenance, encompassing system design, code development, and ongoing performance enhancement, directly contributing to risk mitigation.
• Developed and implemented code for managed accounts analytics, providing key insights into total accounts, P&L, holding periods, and AUM by security type/fund family.
• Instrumental in the successful implementation of a firm-wide trade surveillance system, enhancing the monitoring of potential insider trading and market manipulation.
• Mentored and guided teams in the development and refinement of alerting systems, including creating regression testing data to ensure system accuracy and identify potential flaws, thereby improving team's technical capabilities and system reliability.
• Collaborated with third-party vendors to refine trade surveillance systems, resulting in the elimination of faulty alerts and significantly increasing analyst efficiency and focus on critical reviews.
• Successfully extracted and coded data for numerous analytical projects, validating alert parameters and improving the overall system of supervision within the firm.

• FINRA licenses: Series 7, 63, 66, 9, 10
• CFE (Certified Fraud Examiner) designation