James Zogg

About James Zogg

Skilled at achieving business & operations alignment by providing technical information in a digestible manner. Proficient at implementing first-ever initiatives and garnering organizational support for new strategies by organizing teams and systems and championing industry best practice. Recognized as a skilled leader who can lead during crisis situations and build culture where team members want to succeed. Passionate about building team skills through cross-functional training and delivering operational efficiencies.

Experience

1. Managing Director, Global Head of Trading Operations

   Instinet Incorporated

   Feb 2009 — Present · New York, NY, US

   Promoted to lead Trading Operations and Technology Support globally in New York, London, India and Hong Kong. Broadened scope of firm’s risk management profile as Nomura acquired and integrated Instinet, leaving the name for its US recognition. Took a holistic approach to rebuilding global trading operations by efficient functional organization and successfully partnering with the business. • Lead responsible for:(1) technology support (Production Trading Systems, Algorithmic Trading, Latency Sensitive Execution Trading, FIX Implementations, Post-Execution Technology),(2) client support (Broker Dealer Operations, Client On-boarding, Client Support Center) and (3) regulatory reporting teams and functions. Currently reporting directly to the CTO with regulatory reporting line into the President.• Developed a “follow the sun” model to ensure that each global region has appropriate pre and post market support for opens and closes with documented regional team handoffs and global team communication processes.• Championed a support tools initiative that resulted in an aggregated trading support tools dashboard, complete with systems analytics, centralized knowledge databases and global chat rooms.• Created a new change management process, inclusive of scheduled calendars, incident tracking procedures and approvals from all necessary business units. Currently act as lead approver for all domestic change management rolls and global emergency change orders. • Redefined and coalesced all business continuity plans, disaster recovery plans and crisis management procedures for a systematized global approach to managing change.• Lead partner representing business and operations’ points of view for all audit, compliance and regulatory matters.

Education

• University of San Diego

  Business Administration, Management and Operations

  1993 — 1995

Skills

• Financial Markets
• Trading
• Options
• Electronic Trading
• Capital Markets
• Series 7
• Fixed Income
• Equities
• Risk Management
• Trading Systems
• Hedge Funds
• Financial Services
• Management
• Derivatives
• Securities
• Equity Trading