As a compliance and operations analyst, Frank reviews, updates, and oversees all of CCM’s regulatory reporting requirements and its registered products. He manages approved broker/dealers, separate accounts, and restricted trading lists and liaises with the chief investment officer and chief compliance officer on various compliance matters, regulations related to performance and risk requirements, and related data templates. He is also responsible for all facets of onboarding separately managed accounts as well as providing back-up on daily reconciliation, cash management, and trade settlements.

Biography:

Frank joined CCM in 2021 from Cantor Fitzgerald where he led the transition of their options clearing operations to Jacksonville from New York, oversaw all day-to-day operations, prepared operational and risk reports, and established procedures for custody/control for listed options products. Prior to that, he worked in operations/compliance-related roles at Robinhood Securities and Deutsche Bank Securities. Frank received his B.A. in Business Administration from the University of North Florida and an M.B.A from Nova Southeastern University. He holds FINRA licenses: Series 7 & 63.