Josh Cunningham

Background

About Josh Cunningham

Vice President, FX Trade Surveilance, Deutsche Bank Monitor various trade surveillance and communications scenarios across different asset classes including FX, swaps, and Futures derivatives in Smarts Reviewing communications across all available text-based platforms for possible violations of compliance rules Analysing large data sets to identify possible violations of regulatory rules, firm policies and unauthorised trading Research available sources for evidence of prohibited behaviour such as spoofing, wash trades, “as of” booking, front running, ramping/ aggressive trading patterns which may suggest market manipulation Reviewing output of defined models for violations of specific rules such as exchange cross trade and block trade rules (quantity, timing etc) and non CFTC-approved markets for US-based trading Communicating with front office and various levels of the firm when investigating potential violations, escalating where appropriate and participating in any further action taken (filing SARs etc) Documenting results with extreme attention to detail and recommending process improvements, review and add to policies and procedures to help reduce risk of unauthorised trading Participating in project work, contributing expertise and assisting at various stages of development so that models to capture violations are sufficient and produce accurate data Collaborate with stakeholders to continuously reassess the effectiveness of controls, working with project managers and IT to augment existing scenarios or add new models when control gaps are identified