"Steve Jobs" for regtech, fintech

Been called that by customers and a guy at Bloomberg.

Trusted advisor to enterprises, delivering solutions that change business results with AI, NLP, data analytics, and cloud.

Experience in wealth management, capital markets, institutional trading, asset management.

Bring a “Steve Jobs” perspective to find unmet, unstated, and unknown needs. Then work backwards with agile development and a practical focus on workflows, user experience, compliance and regulatory requirements – not just the technology.

Model compelling value as revenue lift, margin growth, marketshare growth, risk mitigation, cost reduction.

Work with end users, CIOs, CTOs, cloud architects, devops, ML gurus, core engineers, user support, business analysts, procurement, legal.

Evolved from AI developer to presales to sales to customer success. BS in CS, MS in NLP.

Working with...

Reactions

[25 minutes into first meeting]

"I haven't seen anything like this. I want to see this on traders’ desks in NY and London, and if that works, we will move forward."

-- Global Head of Equities Market Making, Tier 1 bank

"You've given me a lot to think about."

-- Global Head of Equity Trading, Buy-side firm

[10 minutes into first meeting]

"This is a new frontier. No one has anything like this. There is a competitive aspect.”

-- Global Head of Equity Trading, Buy-side firm

"This is what the business wants."

-- Global Head of Equities Market Making, Tier 1 bank

Engagements

MiFIDII to growth

Transforming MiFIDII regulatory directives from monitoring to business positive at a Tier1 with 15,000 users.

Analyze ALL email and voice communications, in 9 languages, 24x7, in all asset classes, in regions.

Catch suspicious behavior early and proactively work with users to avoid bad behavior.

Proactive notifications for regulators, reducing audits: lower fines, fewer transactions impacted, lower reputational risk.

Apply AI and statistical approaches with NLP, avoid static lexicons.

Apply alerts/searches across asset classes and region.

PoC plan and Proposal

Realtime PnL for an asset manager

Helped a 160-person alternative asset management firm move to real-time PnL, reduce execution risk.

Helped a startup prove how the asset manager could better with data and UI redesign – changing how executives, portfolio managers, traders, and back-office collaborate.

“Hello” to “let’s go!” in 8 days, first phase of development in 24 days.

Details

Comprehensive voice surveillance

Transitioning energy wholesaler with 40 traders from manual, ad-hoc surveillance of 10% of trader voice calls to automated, 100% surveillance with the same compliance team of 5.

Evolve from static reports to real-time dashboards highlighting exceptions.

AI catches new words, goes beyond lexicons, simplifies maintenance by compliance staff.

Demo design and account plan

AppStore for wealth management

Breaking silos at a Tier2 investment bank, bringing 1000 wealth advisors in NAM/EMEA closer to trade execution to provide differentiated service.

New look&feel for user navigation of apps from pre-trade through execution, pre-populate trade tickets from Outlook.

Client can offer an “AppStore for wealth management” with inhouse apps to 1000 external firms to grow revenues and marketshare.

Integrated with Bloomberg Terminal.

Projects

Voice assistant

"Siri" that retrieves information based on natural conversation, plus smarts about context, previous transactions, etc.

Extracts entities, retrieves across email/web/internal sources, ranks relevance across all users.

Embedded in workflow.

Goal: 2 second response.

I guided techies on focus, content, flow, response time. Used this demo in initial reachout to sales&trading heads, ops.

Demo video - 2 mins

Real-time TCA

Measure and monitor slippage and trading costs, routing through custodians.

Deprioritize ECNs with poor execution.

Focused founder on job-to-be-done, show how "day in the life" looks to traders and managers in terms of risk.

In 20 minutes, global head of electronic trading stopped the initial meeting, asked for an immediate pilot leading to 6-figure ARR deal at a Tier1.

4th demo shows executions, stopping orders, algo performance.

I guided techies on UI design, flow, data sources.

Demo videos