Nahum Marcus has over 20 years of experience in infrastructure management, compliance, and project management within the financial industry. He has managed technology operations budgets of $5 million and capital budgets of $3.5 million. His experience includes analyzing market data needs, implementing regulatory requirements, transaction monitoring, and training. He holds a BS in Computer Technology, BA in Computer Science, and MA in Jewish Studies.

1. NAHUM (NICK) MARCUS
nmarcus11@yahoo.com
Tel: (516) 295-3048
Cell: (917) 767-6490
Infrastructure Manager – Market Data Management – Compliance Officer – Project Management
Results oriented Senior Level IT Infrastructure Manager & Compliance Officer with over twenty years
of global technical and hands-on managerial experience in mission critical, trading floor, high
performance Web and non-Web infrastructures within the financial industry, and regulatory
requirements implementation and reporting across lines of business. Analyzes Market Data needs
and resources, reduces costs and improved organization’s bottom line. Budgeting and financial
planning related to operations ($5MM), and capital technology ($3.5MM) spending. Engaged in
compliance related projects involving corporate and global banking regulations
• Visions Setting/Design • Financial markets and securities regulations/reporting
• Project Management • Correspondent, Private and Regional Banking
• Systems Infrastructure • AML/BSA, OFAC, KYC, Client On-Boarding
• Strategic Planning • Look-back and ongoing transactions monitoring
• Change Management • Quality Assurance, SAR, Audit, QA, Risk Assessment
• Budgeting/Financial Analysis • Case study/analysis, alerts testing, group training
=========== HIGHLIGHTED CAREER ACHIEVEMENTS =============
• Member of Regulatory Task Force team monitoring and approving all Equities SEC reporting
executed by the firm’s different trading platforms
• Transaction analysis pertaining to all Blue sheet, OTC, OATS & Pink sheet reporting
• Reviewed institutional and retail banking transactions to detect and deter unusual and
questionable activity including money laundering, terrorist financing, tax evasion and other
potential illicit activities
• Collaborate with compliance, legal and IT groups in effort to implement efficient risk controls
• Provide hands-on training involving systems, identification of unusual transactions and
various risk factors, and implementation of policies, procedures and regulatory requirements
• Top producer in a global transaction surveillance, look-back project
• In-depth account analysis including business profile, corporate legal structure, jurisdiction and
line of business evaluation, review of payment details, transaction patterns, risk assessment
• Utilized WorldCheck, Lexis-Nexis and other proprietary systems to perform account
screening for Politically Exposed Persons (PEP), terrorists, OFAC, and financial crime
connections
• Analyzed, determined and Managed complete market data needs for firm-wide equity
departments, reducing data expenditures by 40%
• Created Smart Database System for internal reporting, later converted to MS Access.
• Setup terms and conditions for user initial access of AOL Instant Messaging accounts, for
interoffice communications, monitored user’s telecom and AOL usage to ensure business
usage only
• Managing Director in charge of all market data and technology needs for all equity
departments globally
• Professor at Touro College with highest student enrollment of a class in school history
• Created web based sales for packaging company and initiated city contracts for packaging

2. EMPLOYMENT SUMMARY
TechPar Group 2012 –Present
Touro College – Landers College for Women 2009 – 2014
United Packaging Group 2009 – 2010
Bear Stearns & Co. Inc. 1985 – 2008
PROFESSIONAL EXPERIENCE
Nmarcus Consulting Inc. 7/2012 – Present
Independent Contractor – Providing consulting solutions in a broad range of areas,
including regulatory compliance (AML/BSA, KYC, OFAC, FINRA/SEC rules, etc), audit, QA,
risk assessment, testing, operations, systems controls and implementation, among others
Standard Chartered Bank 10/7/14 – 9/30/15
Consultant (TechPar Group) – Transaction Monitoring Lookback Review
On contract as a [Remediation/Quality Control] Analyst engaged in remediating a 20 month
Look Back procedure of transaction surveillance on proprietary client accounts, with written
summary reports of findings, recommending closure or escalation of accounts when required.
Investigated account transactions for Red Flags, such as AML activity, Activity Burst, Nested
Correspondence, Reparation of Funds etc. and researched clients and counterparties for
entity existence, location, PEP, Terrorist, OFAC country connections & Criminal Activity using
proprietary systems, public domain & Lexis Nexis searches.
State Street Bank 1/2014 – 6//2014
Consultant (TechPar Group) – AML Account Remediation/QA Review
On contract as a [Remediation/Quality Control] Analyst engaged in remediating High Risk
accounts, funds, and escalating when required. Researched account entity existence (i.e.,
Activity, Business profile & Location) & investigated if account entity had any PEP, terrorist,
OFAC country connections, suspicious AML activity in account or any other illegal activity
using WorldCheck / Lexis Nexis and other Internet & Proprietary database research. Wrote
risk management assessment on account activity and account holders.
HSBC 7/2012-10/2012
Consultant (TechPar Group) – KYC/EDD/On-Boarding Remediation/QC
On contract as a [Remediation/Quality Control] Analyst engaged in remediating KYC,
AML/BSA aspects of HSBC’s U.K. universal bank's & U.S. national bank subsidiary's on
boarding of its corporate client files in response to C&D Orders by the Fed and OCC.
Investigated banks on boarding process, clients activity, location, business profile and
background ensuring no OFAC, terrorist, PEP connectivity, & or no AML activity in client
accounts and hedge fund accounts using WorldCheck / Lexis Nexis and other Internet &
Proprietary database research.
Touro College – Landers College for Women 9/2010-12/2014
- Professor
United Packaging Group – Queens, NY 3/2009-9/2010
- Vice President of Sales

3. Bear Stearns – New York, NY 1985 – 2008
- Managing Director Compliance & Equities Technologies
Market Data/Technology Management, infrastructure, Compliance & Reporting
• In charge of Equity and Fixed income regulatory reporting and IT spending
• Oversaw review/key validation components within regulatory reporting framework pertaining
to equities, fixed income, derivatives, and securitization; Ensure timeliness, accuracy and
completeness of Order Audit Trail System (OATS) regulatory reporting
• Partnered with trade support, technology, projects management and regulatory compliance
teams in relation to reporting issues in the Equities, Fixed Income, Credit Default Swaps,
MBS; Coordinated with external repositories to resolve pending inquiries
• Provided Regulatory Task Force delivery for cross-functional business initiatives; responsible
for on-going regulatory support for internal projects ensuring a cohesive and consistent
approach; timely execution of regulatory strategies and project management to ensure
successful delivery of assigned projects
• Built and maintained working relationships/communications with stakeholders in the different
businesses (Equities, Fixed Income, Derivatives) and functions (Legal, Compliance, Controls,
IT); provided guidance and analysis, helping identify, escalate and resolve
issues/risks/dependencies. Collaborated with technology to ensure adequate design and
infrastructure requirements to meet business needs
• Supervised Technology and Market Data for both local and global Equity departments
• Analyzed all market data usage for all Equity departments firm wide to determine each
departments needs and usage
• Enhanced usage capability of market data services for all equity departments while at the
same time reducing market data expenses by over 40%.
• Supported 6 departments in equities and London branch
• Updated and migrated OS, archive backup systems, and ensured up to date daily backup
and recovery systems
• Created Novell network for departments and wrote Saber menu system
• Introduced First Call system to Risk Arbitrage
• Wrote Smart database system to manage client positions and holdings; converted Smart
database system into MS Access database system
Education
BS in Computer Technology from Jerusalem College of Technology – 1981
BA in Computer Science from Yeshiva University, New York – 1983
MA in Jewish Studies from Bernard Revel, New York – 1983
Industry Knowledge
• Hedge Funds • Cash Management
• Broker/Dealer • Equities
• Manufacturing • Fixed Income
• Distribution • Options & Futures
• Software Development • Market Data

4. Technical Skills
• MS Office Suite • C
• MS PowerPoint • NT & Novell Administration
• MS Access • COBOL