Ryan Capasso

I am a Compliance Analyst who investigates securities trades – equities & options – to identify trading anomalies, investigate potential violations, and ensure trading integrity. By presenting my surveillance protocols to the SEC, they allowed the NYSE Amex to self-regulate trading instead of FINRA oversight.

An expert on financial industry regulations, I analyze trading data, conduct UAT on surveillance systems, and implement compliance procedures. I achieved a 0% error rate with the Exchange’s proprietary software by analyzing surveillance data to identify flaws in system, and collaborating with IT to remediate the flaws. Additionally, I developed a surveillance tool to target option trades in violation of short sell regulations.

My expertise extends to a wide range of trading vehicles and markets: Amex & Arca options markets, equities, UARs, “Release No Actions”, Flex-Trades, customer priority, Executions after the Close, and Floor-Broker Trade-Through, and open “outcry” trading, where I conducted SEC-regulatory oversight on the NYSE floor to identify trading anomalies & investigate potential violations.

SEC; FINRA Trade Reporting Rules; cross-border requirements; Volcker; Regulations SHO & NMS; Trade Reporting Rules; Market Access Rule etc.

MS Office (intermediate-level Excel); DLE; B.O.B; Business Objects (COATS & Live vol.); Gems; FMT; ServiceNow; Scila

Licensure & Certifications

Series 7 & 63 (expired)