
Jon Harz
Compliance officer with over 10 years experience advising sell-side and buy-side front office personnel, creating and enhancing global... | New York, New York, United States
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Jon Harz’s Emails jo****@ad****.com
Jon Harz’s Phone Numbers No phone number available.
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Jon Harz’s Location New York, New York, United States
Jon Harz’s Expertise Compliance officer with over 10 years experience advising sell-side and buy-side front office personnel, creating and enhancing global trading compliance programs, and resolving regulatory matters in various jurisdictions. Skilled in trading compliance, regulatory compliance, and surveillance across multiple products and asset classes. An attorney who leverages legal training and markets experience to effectively communicate with regulators and engage internal stakeholders. Adept at managing teams and collaborating with the front office and other functional groups, such as risk, technology, legal, middle office, and operations, to address regulatory issues and complete project deliverables. Establish, maintain, and optimize surveillance programs to meet regulatory requirements and expectations, as well as to ensure that all trading activity and general conduct is consistent with applicable law, regulations, rules, and internal policy.
Jon Harz’s Current Industry Alphadyne Asset Management
Jon
Harz’s Prior Industry
Bear Stearns
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T3 Capital
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Citi
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Alphadyne Asset Management
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Work Experience

Alphadyne Asset Management
Head of Trading Compliance
Thu Sep 01 2022 00:00:00 GMT+0000 (Coordinated Universal Time) — Present
Alphadyne Asset Management
Trading Compliance and Surveillance Officer
Mon Oct 01 2018 00:00:00 GMT+0000 (Coordinated Universal Time) — Thu Sep 01 2022 00:00:00 GMT+0000 (Coordinated Universal Time)
Citi
SVP/Sr. Compliance Officer - Market Surveillance and Regulatory Inquiry Management
Mon Oct 01 2012 00:00:00 GMT+0000 (Coordinated Universal Time) — Sat Sep 01 2018 00:00:00 GMT+0000 (Coordinated Universal Time)
T3 Capital
Proprietary Equity Trader
Sun Jun 01 2008 00:00:00 GMT+0000 (Coordinated Universal Time) — Wed Apr 01 2009 00:00:00 GMT+0000 (Coordinated Universal Time)
Bear Stearns
Equity Derivatives Middle Office - Convertibles
Wed Feb 01 2006 00:00:00 GMT+0000 (Coordinated Universal Time) — Sat Mar 01 2008 00:00:00 GMT+0000 (Coordinated Universal Time)