David Emero

About David Emero

Experienced financial services professional with a proven track record of success leading regulatory, business and technology change management activities. Deep functional and technical expert in the full spectrum of non-financial regulatory reporting. Recognized industry thought leader in Securities and Swaps reporting - leading and actively participating in numerous industry working groups through SIFMA, FIF, and ISDA. Former member of the Consolidated Audit Trail Advisory Committee. Public speaker at numerous financial industry forums and events. Front-to-back knowledge of securities and derivatives trading, post-trade processing and client/product reference data. Specialize in large scale rule change analysis and implementation, functional process design and re-engineering, business change analysis and execution, control framework design and implementation, data and regulatory issue remediation, regulatory inquiry analysis and response, program and project management. Regulatory Experience includes- Order Reporting: Consolidated Audit Trail (CAT), OATS, 605, 606 - Order Submission / Routing Specifications: All US Equity, Option and Futures Exchanges - Derivatives Reporting: Securities Based Swaps (SBS), CFTC Part 43, 45 and 46 - Trade Reporting: TRF/ORF, TRACE, MSRB - Transaction Reporting: Electronic Blue Sheets (EBS), SEC Large Trader reporting and monitoring, Qualified Financial Contracts (QFC)- Position Reporting: Short Interest, SEC Section 13F and 13D/G, Futures Exchange Limit Monitoring, Large Option Position Reporting (LOPR)- Registrations: Series 99- Products: Equities, ETFs, Bonds, Listed/OTC Options, Futures, Synthetics, Swaps

Experience

1. Head of Regulatory Reporting Product Strategy

   N-Tier Fs

   Sep 2023 — Present · New York, NY, US

Education

• Fordham Gabelli School of Business

  MBA, Finance and Management

  1994 — 1997

• Massachusetts Institute of Technology

  BS, Materials Engineering

  1986 — 1990