Timothy Denny
Vice President - FIU Execution Officer
- Role
- Vice President - Fiu Execution Officer at Citi
- Location
- New York, NY, US
- LinkedIn followers
- 500 followers
About Timothy Denny
Highly motivated and inspired trader with 12 years’ experience trading equities and overseeing all desk operations. Recognized for trading expertise, vision, initiative, and ethics with a proven ability to deliver in high pressure situations. Educated and experienced with changing market structure and regulatory requirements. Series 63
Experience
Vice President - Fiu Execution Officer
Aug 2019 — Present · New York, NY, US
Review, analyze and investigate potentially suspicious activity generated through transaction monitoring alert/cases and referred from other line of businesses• Trade and account surveillance. Investigate potential MNPI insider trading activity, along with cross trading, spoofing, and other market misconduct using internal and external resources• Review client ADV and marketing material to identify investment strategies, counterparty relationships, and business jurisdiction to understand expected client behavior. Work and review client activity with internal business manager for client onboarding and KYC profiles• Examine flagged cases for AML and market misconduct typologies: High Risk Transfer, Fund Transfers, Low Price Securities, Offsetting Trades, etc. • Weekly market outlook meetings identify broad trends amongst institution client base• Conduct appropriate due diligence related to the potential suspicious activity and report such activity to the appropriate regulatory authorities Network (FinCEN), the Bank Secrecy Act(BSA), and USA PATRIOT ACT. • Prepare and file a Suspicious Activity Report (“SAR”) in compliance with established regulatory guidelines and time frames set forth by U.S. Treasury\'s Financial Crimes Enforcement• Liaise with other FIU units, ACRM, the Business, CSIS, FIU Legal, GIU, Trade Surveillance, and Law Enforcement
Education
University of Rhode Island
Bachelor of Science (BS), Applied Economics/ Marketing
1998 — 2001
Rutgers University
Data Science Program
2018 — 2019
Skills
- Options
- Bloomberg
- Electronic Trading
- Management
- Series 63
- Financial Markets
- Trading
- Equities
- Hedge Funds
- Derivatives
- Trading Systems
- Fixed Income
- Capital Markets
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