Gregg Kaplan Resume

1. Gregg Kaplan
2516 W. Patterson Avenue
Chicago, IL 60618
312-498-1113 gregg.kaplan@gmail.com
PROFESSIONAL PROFILE
Senior level business and derivatives industry professional who brings deep understanding, judgment, and hands-on
experience in derivatives trading and execution, operations, risk management, regulation, compliance, reporting,
technology innovation, and management across a broad range of asset classes and exchanges including energy,
agricultural, other commodity and index futures, options, equities, and cash treasury products. Creative, entrepreneurial
leader with extensive industry connections. Continuously rebalancing needs and organizational assets to drive business
strategy and implementation of projects in algorithmic, electronic, and manual trading environments.
SKILL SET
BUSINESS DEVELOPMENT
Initiate New Business Lines
Building Trading Platforms
Vendor Relationships
Project Management
TRADING OPERATIONS
Risk Management
Optimizing ROI
Legal / Compliance / Reporting
Establishing Policies / Procedures
TALENT DEVELOPMENT
Recruiting
Mentoring
Training
Education Modules
EXPERIENCE
ANDRIE CAPITAL TRADING, LLC CHICAGO, IL APRIL 2013 – September 2015
CHIEF OPERATING OFFICER
DIRECTOR OF OPERATIONS & RISK, TRADING & BUSINESS DEVELOPMENT
Privately-held (broker-dealer) market-making firm with a strong concentration in options on equity indexes and energy
and agricultural commodities. Andrie combines its resources, thirty years of trading history within a dedicated group of
professional traders to achieve superior results in multiple asset classes.
As a Director and Operating Officer my primary responsibilities were to facilitate the execution of the business plans of
each of the companies profit centers, and act as an intermediary between trading and technology. This included
management of the strategy development department and tactical coordination with the CTO in the design,
development, quality assurance, and deployment of any and all technology, software, and connectivity solutions.
Managed business development and the firm’s relationships with exchanges and clearing houses, which ensured the
firm had the market access necessary to satisfy the requirements of each trading desk on an ongoing basis. This
included onboarding of new trading teams as well as the maintenance, expansion, and rebuilding of existing ones.
Determined the priority of companywide projects in order to support the needs of the entire firm. This included
resource planning, project management, and staffing.
Directly influenced long and short-term business decisions regarding strategy and idea generation. Managed operational
processes (change control process and escalation procedures) and ensured reliability of systems and software. Worked
with CFO and CEO in monitoring firm performance, trading oversight, financial and operational risk management
processes, compliance, and human resources. Additionally, aided in the management of the external relationships with
regulatory, compliance, legal, and vendors. Facilitated reporting to clearing houses and regulatory agencies, and helped
develop firm guidelines to adhere to highest industry standards.

2. A.M ROSENTHAL, LLC EVANSTON, IL / RCG LLC, AMR FX JUNE 2010 – APRIL 2013
CHIEF OPERATING OFFICER
DIRECTOR OF OPERATIONS & RISK, TRADING & BUSINESS DEVELOPMENT
Global proprietary, derivatives trading firm with a presence on every major U.S. futures exchange and many foreign
exchanges. Reporting directly to the CEO and Founder, identified business development opportunities and
profitably managed firm’s expansion in a rapidly changing business environment. Managed FX brokerage division
with offices in New York, London, and Singapore concurrent with trading operations in numerous U.S. locations.
w Actively ran day-to-day trading entities and business development operations within multiple U.S. locations
including manual traders, algorithmic trading, and sales-trading brokerage operations.
w Developed and deployed new business initiatives utilizing the latest, best operational practices and technologies to
drive earnings growth.
w Decisively managed mission critical issues including portfolio risk management, capital maintenance, business
development, and relationships with clearing firms and exchanges. Worked with in-house and outside counsel
to provide regulatory legal compliance, reporting, and control.
INDEPENDENT CONSULTANT FEBRUARY 2010 – DECEMBER 2010
CONSULTING AND PROPRIETARY TRADING
Restricted from automated/algorithmic trading and working with high frequency firms due to a non-compete
agreement. Traded proprietary account (TMG, LLC.) in Treasuries, Eurodollars, and crude oil.
w Retained to advise management of a private equity fund on exchange connectivity and technology issues directly
related to the firm’s investment into infrastructure and exchange related investments in New Delhi, India.
w Advised fund on business development opportunities pertaining to trading and the exchanges.
w Assembled team of programmers and engineers to consult fund in an effort to realize profits on start-up venture.
ALLSTON TRADING, LLC CHICAGO, IL FEBRUARY 2009 – FEBRUARY 2010
AUTOMATED TRADE DEVELOPMENT R&D TEAM LEAD
Recruited to direct a team of programmers, analysts, and traders in combining quantitative methods, technological
infrastructure and trader expertise. Reported directly to the firm President regarding business development, new
strategy implementation, and revenue growth at a time of significant operational change in the industry.
w Developed trading strategies and arbitrage opportunities on numerous indexes and commodity futures products,
broadening the firm’s sources of revenue.
w Deployed scalping and spreading strategies in a low latency, high frequency environment for time-priority markets
on the CME, CBOT, Nymex, Ice, Eurex, and Liffe.
w Created scalable and profitable strategies across multiple asset classes including treasury yield curve, Eurodollars,
natural gas, crude oil, options, and equity index futures markets.
w Researched, developed, and aggressively deployed automated and semi-automated high frequency futures strategies.

3. A.M. ROSENTHAL, LLC EVANSTON, IL MAY 2007 – FEBRUARY 2009
SENIOR MANAGER & TRADER
Traded futures spreads on treasuries, the crude oil complex and natural gas based on the futures, spot, and relative
curve structure. Managed team and consolidated efforts of firm in trading operations and expansion effort.
w Developed new trade ideas and strategies directly related to intra-day and multi-day strategy and execution. Worked
with team on implementation of grey box strategies.
w Established a new trading division (formerly AFJ Global) to transition into algorithmic trading of correlated cross-
border spreads. Developed automated trading protocols that would allow for trading of a broader portfolio in order
to mitigate systemic risk, increase investment gain, and optimize trading efforts.
SALLERSON-TROOB, LLC (SHERIDAN DIVISION ) CHICAGO, IL JANUARY 2003 – FEBRUARY 2007
SENIOR TRADER & DIRECTOR OF TRADING AND RISK
Moved with Botta’s specialist partners to drive revenue and earnings growth in this startup through new trading
technologies. Traded and managed equity options positions and futures portfolios on the CBOE, CME, ICE, and
CBOT with full responsibility for capital allocation, risk assessment, and margin maintenance.
w Collaborated with PhD quantitative analysts and programming engineers to develop new, highly profitable, cutting
edge trading models in Treasury and Eurodollar term structure spreads.
w Executed trading strategy models based on equity volatility variance, dispersion, option volatility arbitrage, earnings
predictability, and underlying fundamentals of individual companies and industries.
BOTTA CAPITAL MANAGEMENT, SAN FRANCISCO, CA / CHICAGO, IL JANUARY 1996 – JANUARY 2003
MANAGING DIRECTOR OF TRADING AND OPERATIONS/SENIOR SPECIALIST , PACIFIC DIVISION
Beginning as a trader on the floor of the CBOE, built a baseline of trading expertise while developing an
understanding of trading products, markets, technologies, exchange competition, and approaches. Led team of
traders and risk managers while educating new hires and contributed seven figure revenues from year one.
w Built and directed top-performing teams of specialists, market makers, brokers, and support staff to drive Botta’s
Pacific Coast Division. Directed operations on the Pacific Coast Options Exchange (PCX). Oversaw risk
management, daily trading operations, and exchange relations while managing an equity options portfolio of more
than 250+ equities and leading a local staff of 30 employees and 300 global employees. Promoted to an Associate
Director while fully engaged in trading and the portfolio’s risk management.
EDUCATION & LICENSES
B.S. FINANCE, UNIVERSITY OF ILLINOIS AT URBANA-CHAMPAIGN
College of Commerce & Business - Dean’s List
FINRA Licenses Series 24 and 56
Illinois Real Estate Brokers License