Ryan Savoca

Program & Project Manager @Dexian

NY, US

Consolidated Audit Trail (CAT) & Reg SHO Consulting Engagements at Tier 1 Multinational Investment Bank: Managed Consolidated Audit Trail (CAT) program for Global Markets to change manage FINRA updates to technicalspecifications, new reporting scenarios, and former SEC Exemptive Relief reporting requirements Shaped and project managed the Firm’s strategic solution for CAT Fee Billing to ensure the Firm’s ability to capture,reconcile, and pay CAT Fee invoices as well as pass CAT Fees back to clients Represented the Firm on the Financial Information Forum (FIF), leading sessions to engage FINRA for CAT issues Managed response to regulatory audit findings to enhance control & risk management around Regulation SHO locate & close out requirements, drive transparency for equity borrow & buy-in obligations