FRED J.

HOEVENAAR
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2128 Basswood Drive
(610) 567-0886
Lafayette Hill, PA 19444
fh6be236@westpost.net
PROFESSIONAL SUMMARY
Innovative analytic and strategic problem solving regulatory officer with
demonstrated success in challenging regulatory and business environments.
A seasoned professional with broad experience developing systems and
procedures to track and monitor equity trading activity. Excellent
communication skills that assist in establishing strong relationships with
regulators, traders, and senior managers.
PROFESSIONAL EXPERIENCE
BNP Paribas Securities Corp. New York, NY
1998-2010
A financial services firm wholly owned by a leading European investment
bank with a strong global presence. One of only six banks with an AA
credit rating from S&P.
COMPLIANCE MANAGER
Managing Director of Equity and Derivatives compliance staff of ten
responsible for 60 traders, 70 marketing/structuring employees and related
middle and back office departments.
Improved detection of trading irregularities by developing a database of
order and trade details which made creation of automated surveillance
processes possible.
Took steps to upgrade the firm's best execution analysis to include an
assessment of the quality of algorithmic execution systems, smart order
routers and dark pools.
Reduced regulatory exposure by establishing systems and procedures to store
electronic communications and tag suspect correspondence for review.
Developed trading and order execution surveillance processes to monitor
compliance with new Reg SHO, other SEC short selling rules, and Reg NMS.
Worked closely with senior trading desk management to develop appropriate
safeguards for the co-located high frequency trading desks to detect
violations of trading rules including Regs NMS and SHO.
Worked with European counterpart on a project to implement a suite of
market abuse programs offered by a third party vendor.
Joined with IT developers and management to create a smart order router
with alternative execution strategies and an internalization engine which
complied with all applicable regulations.
Caspian Securities Inc. New York, NY
1995-1998
Emerging Markets specialist bank created by the former chairman of Barings
Securities, Christopher Heath, offering research and execution services in
foreign markets to US mutual funds..
CHIEF COMPLIANCE OFFICER
Chief Compliance Officer for this start up company. Staff of two.
Built the infrastructure necessary to allow the firm to acquire regulatory
approval to conduct business.
Worked together with local outside counsel to open a broker-dealer in
Buenos Aires in compliance with local regulations.
Goldman, Sachs & Co. New York, NY
1988-1995
Global investment bank and securities firm offering a full range of
financial products and services to corporations, institutions and high net
worth individual investors.
COMPLIANCE MANAGER
Compliance manager for Equity Trading and Arbitrage businesses which
included a block desk, convertible and risk arbitrage, NASDAQ market making
and listed and OTC derivatives sales and trading. Staff of three.
Created a new compliance department and related systems, policies and
procedures to cover the firm's equity trading and arbitrage businesses.
Instrumental in launching new OTC derivatives products.
Morgan Stanley Dean Witter New York, NY
1983-1987
Offers a full range of financial services to individual retail investors
through a nationwide network of branch offices and employs traders to trade
for the firm's account.
COMPLIANCE MANAGER
Senior vice president of equity trading surveillance responsible for
monitoring all proprietary trading activities with a staff of three.
Created a trading surveillance department with related surveillance and
supervisory systems to address trader fraud.
New York Stock Exchange Inc. New York, NY
1974-1983
Primary stock exchange in the US operating subject to the 1934 Securities
and Exchange Act.
SURVEILLANCE MANAGER
Vice president of floor trading surveillance with a staff of 50.
Founding member of the SRO group that created the Intermarket Surveillance
Group to improve the ability to detect cross market trading abuses.

EDUCATION
BBA-Finance, George Washington University
MBA studies-New York University
LICENSES
Series 4, 7, 8, 14, 24, 63