Pete Frazzetta
Vice President Capital Markets Oversight at U.S. Bank
- Role
- Vice President Compliance at U.S. Bank
- Location
- Cincinnati, OH, US
- LinkedIn followers
- 500 followers
About Pete Frazzetta
An innovative, meticulous and results-driven finance professional, offering extensive trading and relationship-building experience primarily within the FX industry • Apply an analytic approach in identifying trading opportunities and mitigating risks, resulting in strong returns and long-term stability • Cultivate positive relationships with all industry contacts, fueling firm profitability and streamlined operations • Performance demonstrates a high level of commitment and the ability to perform effectively under fast-paced, extremely demanding conditions • Strive to establish sound growth objectives and improve overall firm visibility • Knowledgeable regarding all aspects of trading, clearing, compliance and supervision.
Experience
Vice President Compliance
Apr 2019 — Present · Cincinnati, OH, US
Compliance - Trade OversightCapital MarketsKey Responsibilities- Liaise with traders to advise on market abuse regulations and private/public information barriers covering Fixed Income, FX and Securities Lending transactions- Perform on-going trade monitoring using industry surveillance tools to assist with trade errors, breach of thresholds for further investigations, assessments and documentaion- Provide guidance and process enhamcements to be implemented, tested and evaluate controls- Coduct proper due dilligence of new and existing trading counterparties and perform ad hoc in depth assurance reviews of trading processes- Advise on conduct and compliance risks for employee personal trading-Manage and evaluate post tradecompliance alerts, validate exceptions.
Education
St. John's University
B.S.
1992 — 1996
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