John Granite

Director at Keefe Bruyette and Woods, Inc.

Location
Greater New York City Area
Industry
Financial Services

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John Granite's Overview

Current
Past
  • Vice President at Bear Stearns and Company
  • Compliance Officer at Merrill Lynch, Pierce, Fenner & Smith Incorporated
Education
Connections

190 connections

John Granite's Summary

Responsible for supporting and advising the equity trading and sales desk, regarding rules and regulations set forth by FINRA and the Securities and Exchange Commission.

John Granite's Experience

Director - Sales and Trading Compliance

KBW

Public Company; 501-1000 employees; KBW; Investment Banking industry

August 2014Present (2 months)

Public Company; 501-1000 employees; KBW; Investment Banking industry

December 2006Present (7 years 10 months)

EQUITY TRADING AND SALES DESK COMPLIANCE AND OVERSIGHT Support the Equity Trading and Sales desk in a Compliance role. Perform daily, weekly and monthly reviews for over thirty market makers and sales traders, reviews consist of best execution, short sale obligations, trade advertising, trade and OATS reporting. Work closely with the traders and the Director of Equity Trading to ensure the department is informed of new policies and procedures. Has extensive knowledge of SEC Rule 605 and 606. Perform email and instant message reviews. Conduct testing and verification to ensure trading systems are in compliance with regulatory requirements. Coordinate Compliances efforts for Equity Capital Markets and the Research Department. Perform updates to the trading and supervisory manuals and respond to regulatory inquiries.

Vice President

Bear Stearns and Company

December 2003December 2006 (3 years 1 month)

COMPLIANCE OFFICER FOR TRADING DESK Compliance support for the trading desk, worked closely with the business unit and trading personnel on a real-time basis, advised on trading issues regarding regulations and firm policies, performed daily reviews (for Best Execution, Short Sale, ACT, Trade Reporting and Soft-Dollar, etc.) for NASDAQ, Small Cap, OTCBB and PinkSheet securities, handled price challenges from retail brokers, correspondent firms, and other broker dealers, as well as responded to questions regarding various non-compliance related issues.

Public Company; 10,001+ employees; BAC; Financial Services industry

1996December 2003 (7 years)

Solely responsible for responding to all regulatory and stock exchange inquiries and investigations, extensive knowledge of Nasdaq report cards (i.e., Best Execution, Short Sale Bid Test, Trade Reporting), effectively worked with the IT department to implement and automate trading functions, acted as a substitute when trading room Compliance Manager was absent to address real-time inquiries from Nasdaq, NASD, SEC and member firms as well as interaction with trading personnel.

John Granite's Skills & Expertise

  1. Series 24
  2. Series 63
  3. Fidessa
  4. Series 7
  5. Series 55

John Granite's Education

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