Justin Wortham

About Justin Wortham

During my tenure at Credit Suisse I have held multiple roles, many of which are detailed below: CS Americas Region Head of eComm Surveillance TeamDescription: Managing the buildout of an onshore CS/UBS dual-hatted team to surveil eComms during the merger integration period. Some responsibilities included facilitating trainings, providing metrics, covering eComms Surveillance for Cross Border, Employee Misconduct, MNPI, Anti-Bribery, Market Abuse, Insider, and Suitability Scenarios. Team Lead of FI, FX, Futures Trade SurveillanceDescription: Manage the team accountable for analyzing and investigating trade activity on Fixed Income, Futures, and FX Products to detect potential market abuse or client misconduct. Some responsibilities included leading UAT, conducting training, QA, metrics, responding to regulatory request. Compliance OfficerDescription: Trade Surveillance Compliance Officer role was to ensure the 2nd line of defense for prevention of abusive, manipulative, or illegal trading practices across various asset classes. Some responsibilities included reviewing Fixed Income, FX, and Futures alerts in Nasdaq, Actimize, and Palantir surveillance systems for Americas and LATAM regions.International Canadian Bond & Equity Settlements Description: Clearance for all Credit Suisse LLC’s Canadian Bond and Equity activity while additionally monitoring Canadian Bond settlements for CS International entity via our agent bank. Some responsibilities included trade clearance, wire creation, buy-in processing, and balance order requestCommercial Paper SettlementsDescription: In demand desk that encompassed trade settlement of all short-term commercial paper activity for Credit Suisse LLC. Some responsibilities included CP trade and issuance clearance, PIMS activity monitoring, End of Day balancing for funding of all CS DTC and NSCC settlement activity.MBS SettlementsDescription: MBS Ops position covered the settlement of fed eligible FNMA, FHLMC, GNMA, CMO’s and Remic’s for repo and non-repo trades. Some responsibilities included avg. daily clearance of $3 billion MBS repo and non-repo trades. stock record break reconciliation, and seg deficit balancing.US Treasury SettlementsDescription: Gov’t Ops position which covered the settlement of fed eligible U.S. Treasury Bonds, Bills, and Notes. Some responsibilities included daily trade clearance of $80 – $90 billion in U.S. Treasury activity. stock record break reconciliation, general ledger balancing, client seg deficit research, and SOX Audit reporting.

Experience

1. Principal Consultant

   ACA Group

   Jun 2024 — Present

Education

• North Carolina State University

  Bachelor of Science (BS), Economics

  2000 — 2004

• North Carolina Central University

  Master's degree, Business Administration and Management, General

  2010 — 2012

Skills

• Audit Reports
• Fixed Income
• Internal Controls
• Microsoft Office
• Settlements
• Bonds
• Settlement
• Investment Banking
• Banking
• Equities
• Securities
• Leadership
• Financial Analysis
• Fixed Income Products
• Customer Service
• Auditing
• Bank Reconciliation
• Back Office
• Collateral Management
• Training
• Account Reconciliation
• Client Money