Curriculum Vitae/Resume Citigroup Data Mining Compliance Testing Soros Fund Management Risk Management Market Risk Stanford University Physics

1. DALE BLOOM
+1 646 943 3781 | y.dale.bloom@gmail.com | 3671 Hudson Manor Terrace 16G, Riverdale, NY 10463
Data Mining, Compliance, Risk Management and Operations Manager with twelve years of experience in multi-strategy
trading, banking, hedge, endowment and fund of funds with excellent analytical and technical skills.
Fosters Collaboration Effective leader and mentor. Spearheads interdepartmental teamwork and discussion.
Results-Oriented
Proven track record of managing process design in middle/back office infrastructure and
integrating data mining technologies into business practices in Compliance, Risk and Operations.
Quantitative Analytic, data modeling, quantitative risk management, performance and valuation expertise.
PROFESSIONAL EXPERIENCE
Citigroup, Inc. (Jersey City, NJ) 2014 - Present
Vice President, Institutional Clients Group (ICG), Data Mining – Compliance Testing (CT) 2016 - Present
 Managed and directed team of compliance testers in the design, execution and evaluation of global AML business
practices covering the testing/validation of the KYC migration of global ICG Markets clients per OCC requirements.
 Lead execution of internal and regulatory review testing by leveraging the needs and issues of CT and integrating these
into ready-to-use bespoke solutions – including Big Data analytics.
 Translate internal and regulatory policies, e.g.
o Client Enhanced Due Diligence and Know-Your-Customer (OCC/FRB/FINRA/internal)
o SAR confidentiality and reporting (FinCEN/BSA)
o Suitability obligations for client fair dealings and ethical sales practices (FINRA)
o Regulation W Affiliate transaction monitoring across all asset types (FRB)
into quantitative exception checks on global business units to identify significant compliance risk areas and practices.
 Establish clear and effective data management, stakeholder engagement and analytic development model for ICG CT.
 Expand team relationships and firm-wide network throughout CT, IT and various private wealth business segments.
 Educate team on trading-related regulatory hot topics (e.g. Dodd-Frank, Volcker, market manipulation, conduct/conflict
of interest) and their impact upon the firm.
 Manage direct report to cover data mining projects and ad-hoc internal investigations across ICG CT North America. In
charge of building and developing ICG CT Data Mining team further into 2016.
Assistant Vice President, Institutional Clients Group (ICG), Data Mining – Compliance Testing (CT) 2014 - 2015
 Designed, automated and deployed CT reporting and Big Data analytics that enable testers and business users to review
client profile information alongside aggregated transaction data linked across multiple systems with potential regulatory
high-risk assessment areas highlighted.
 Trained Compliance testers and business users on analytic and created customized functional enhancements. Guided
testers in integrating analytic within their annual testing program.
 Developed in-house project tracking and upper management reporting for handlingmultiple ongoing ICG projects.
 Led recruiting efforts across all levels of roles for team. Revamp technical screening for current regulatory hot-topics.
 Doubled the number of Data Mining-covered analytics performed for ICG in 2015 from previous year.
Soros Fund Management, LLC (New York, NY) 2005 - 2014
Senior Analyst, Risk Management 2007 - 2014
 Solely responsible for building credit reporting framework for $28B global multi-strategy Firm.
 Designed, automated and maintained market risk reports spanninga variety of credit and structured products as well as
capital structure trades.
 Reviewed largest trade theses with senior traders and circulated key themes to department.
 Spearheaded monthly credit meeting agenda and communicated significant events in risk profiles to senior management.
 Assessed third party systems for risk and operations departments. Worked with IT to design current end-to-end risk
capture process.
 Assisted with risk policy and performance information gathering to external auditors, controllers and senior management.

2. Trade Support Analyst (SFM), Business Analyst (Citco Fund Services) 2005-2007
 Developed lending facility optimization framework for $500MM distressed debt portfolio comprised of loans, bonds,
trade claims and CDSs.
 Set up current trade flow process for largest external fund with $1.5B AUM with trading desks, operations and IT.
 Coordinated and led month-end portfolio valuation for $25B fund’s committee meetings with senior management.
 Trained and managed new analysts in back-office operations to confirm and settle high-volume trades in futures, swaps,
equities, global FX/FX options, sovereign/corporate bonds, swaps (CDS, equity, bond, TR, interest rate) and swaptions
for fund with AUM in excess of $25B.
 Developed new product setup and valuation for portfolio managers/risk management. Hedged Firm’s global FX daily.
 Organized and led financial product lecture series ‘After the Trade’ for interdepartmental professional development.
Dubin Clark & Company, Inc. (Greenwich, CT) 2004 - 2005
Financial Analyst
 Conducted domestic middle-market research, due diligence and financial analyses of platform companies for $250MM
private equity fund.
Choate Rosemary Hall (Wallingford, CT) 2002 - 2004
Physics Instructor
 Taught high school Honors Physics courses and coached Junior Varsity Boys’ and Girls’ tennis teams.
EDUCATION
Stanford University, B.S. with Honors in Physics 1998 – 2002
 Co-authored two papers published in the Physical Review Letters (PRL 2001) and Physical Review B (PRB 2002)
UCONN Graduate School of Business, Financial Accounting & Reporting Course 2004
NY Institute of Finance / Societe Generale / Goldman Sachs, Various Financial Product Courses 2005 – 2008,
2010
SKILLS
Programming:
Data Mining & Database:
Risk & Trading:
Market Data & Modeling:
Accounting:
MS Office Suite:
Python, Visual Basic, Java, FORTRAN
QlikView, Oracle, SQL Server, MSSQL
RiskMetrics, Askari, Murex, AFS
Bloomberg, Factset, Reuters
QuickBooks
Excel, Word, PowerPoint, Access
INTERESTS
Suburbia Roller Derby, Inc. (Yonkers, NY) 2012 – 2015
Treasurer (Non-Profit Organization), Board of Directors 2014 – 2015
 Prepared/filed all required state and federal taxes.
 Oversaw finance committee, membership/fee collection and event finance.
League Member and Skater, Women’s Flat Track Derby Association (WFTDA) 2012 – 2015
Technical alpine ice climbing and mountaineering (lead and solo) 2006 – Present