Jason Hauptman
- Role
- Vice President Compliance at Neuberger
- Location
- New York, NY, US
- LinkedIn followers
- 500 followers
About Jason Hauptman
Senior Compliance professional with over 30 years of investment and compliance…
Experience
Vice President Compliance
Apr 2012 — Present
Neuberger Berman (New York, NY) April 2012-PresentCompliance Officer • Track and help resolve open issues related to compliance, audit and regulatory examination comments. Report progress to compliance, business and management• Monitor all Code of Ethics requirements such as personal trading, brokerage account statement reconciliation, gifts and entertainment, political contributions and outside business activities• Perform daily surveillance monitoring for potential insider trading activities based on “live-time” news events and percentage gains/losses for both employee and firm related trading• Conduct compliance inspections and reviews of the firm’s trading desk and other divisions with a view towards assessing compliance with applicable laws, rules, policies and procedures. Escalate and follow up when issues are found• Assist senior management in “Best Execution” results based on testing criteria used such as implementation shortfall, VWAP bps and percentage of spread paid or received. Explain and demonstrate to business how data generated relates to specific trade variables such as volume, instrument type, average executed trade size and relationship with executing brokers• Prior experience as an equity trader and equity sales trader provides greater insight into email review as it relates to understanding, indentifying or deciphering industry jargon• Provide annual, new hire and ad-hoc training to the business to help ensure a “culture of compliance” is consistently administered and maintained throughout the firm• Lead projects related to developing or enhancing compliance tools used to monitor operating practices or gaps in procedures• Strong communications background combined with the highest standards of personal and professional conduct allows for the identification of potential and/or actual Code of Ethics violations
Education
Oneonta State University
Bachelor of Arts, Communications
1993
Skills
- Securities
- Equities
- Trading
- Investments
- Hedge Funds
- Bloomberg
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