Director of Financial Services Practice at PwC
Alan is a Director in PwC’s Financial Services Practice working in the Capital Markets/Technology team. He has 25 years of experience working in industry on sales, business development and project management and has been working on Regulation SCI implementations and reviews for exchanges, industry utilities and large ATS broker dealers.
- Currently leading business development on Blockchain initiatives focused on Assurance Solutions in the US and abroad
- Advised the SFC in Hong Kong on their industry review of their ATS providers under their jurisdiction
- Performed Regulation Systems Compliance and Integrity implementations for Exchanges, Utilities and ATS’s to attain compliance with the SEC rule and also executed annual review reports as mandated by the rule
- He has assessed, developed and implemented many Buy-side and Sell-side products in the areas of trading and execution, operational compliance, securities and exchange act rules and regulations with a comprehensive background in equities, options, dark pools, futures and Exchange Traded Funds (ETFs)
- Alan has extensive knowledge of global and domestic market structure and was integral in the implementation of a global electronic trading platform, Regulation NMS compliant trading and compliance systems which includes Smart Order Routing, Matching Engines, Dark Pool architecture and High Frequency Trading service delivery.
- Previously, Alan served in a sales and business development role at Auerbach Grayson having launched their global electronic trading platform, to over 125 countries with Direct Market Access and Algorithmic capabilities to the top 30 global markets worldwide
- He served in a business development role at Citadel to develop and expand their Dark-pool and Algorithmic suite. His worked included client development both externally and internally on implementation, customization and production which involved working closely with legal, development, certification and operation teams
- Proceeding, Alan served in a Business Development and Project Management role at ConvergEx. He served as the firms Regulation NMS analyst who developed and implemented both their Dark-pool and their Reg NMS compliant Smart Order Router Alan actively participated and represented the firm on industry Reg NMS committees that included SIA/FIF Regulation NMS
- Implementation Working Group and SIA Regulation NMS Order Protection Rule/Access Group. He analyzed requirements, coordinated and implemented the firm's efforts for NYSE Hybrid, NASDAQ Exchange, Regional Exchanges and ECN implementation into the firms trading, compliance and clearing systems and insurance verticals and is highly passionate about driving the blockchain efforts at Microsoft.