Gary Chin
About Gary Chin
Gary Chin is a Senior Trading Operations Specialist at Carta, with a background in operations and quality assurance across several financial institutions. He has extensive experience in developing operational procedures and automating processes to enhance efficiency in trading operations.
Work at Carta
Gary Chin has been employed at Carta as a Senior Trading Operations Specialist since 2018. In this role, he has developed operations procedures for broker dealers, which include processes for Dwac transfers, wire processing, and new account openings. He coordinates weekly with SOC consultants, the Public Markets team, and external SOC auditors to address audit inquiries. Additionally, he oversees the Public Markets SOC I Type I audit process, ensuring the timely development of processes and procedures for broker dealers and transfer agents. His responsibilities also include tracking and monitoring trades, as well as reporting metrics on trading volume, trade acceptance, and wires to management on a monthly basis.
Previous Experience at Merrill Lynch
Before joining Carta, Gary Chin worked at Merrill Lynch, Pierce, Fenner & Smith Incorporated in various roles. He served as a Quality Assurance Analyst for seven months in 2007, followed by a six-year tenure as a Senior Client Service Representative and User-Acceptance Tester from 2010 to 2016. His work involved ensuring quality assurance and client service excellence, contributing to the operational efficiency of the organization.
Experience at Broadcort Capital Corp
Gary Chin worked at Broadcort Capital Corp as a Senior Operations Analyst from 2008 to 2010. During his two years in this role, he was involved in various operational tasks that supported the firm's trading activities. His experience at Broadcort Capital helped him build a strong foundation in trading operations.
Education and Expertise
Gary Chin has a diverse educational background. He earned a Bachelor of Business Administration (BBA) in Banking, Corporate, Finance, and Securities Law from Pace University - Lubin School of Business. He also studied Computer Games and Programming Skills at the Borough of Manhattan Community College, where he completed an Introduction to Python Programming course. Additionally, he attended App Academy and General Assembly, where he studied Javascript and Web Development, respectively, achieving Bootcamp Prep and Web Development Immersive certifications.
Skills in Automation and Compliance
Throughout his career, Gary Chin has implemented solutions to automate manual processes, enhancing scalability and reducing error rates. He collaborates with compliance and legal teams to ensure adherence to FINRA's Consolidated Audit Trail (CAT) timeline. His expertise in automation and compliance has contributed to the efficiency and accuracy of trading operations.