Director, Regulatory Compliance, NICE
Paul Cottee is a Director within the Compliance Line of Business at NICE, based in Hoboken, NJ. In this role, Paul provides subject-matter expertise for over-the-counter (OTC) asset classes and assists in the development and expansion of NICE’s holistic market surveillance product offering.
Paul joined NICE in April 2020 from Nasdaq, where he led the development of surveillance products for FX, Fixed Income and other OTC asset classes. Paul has previously served as Director in Compliance (including Trade Surveillance and Advisory) with global investment banks and asset management firms in New York, Singapore and London; Associate Director in Fixed Income Research with a major investment bank in London; Bloomberg’s EMEA SME for FX, Fixed Income and OTC derivatives (based in London); and Senior Futures Client Advisor and Foreign Exchange Dealer for major global and domestic banks in Sydney. Paul is a frequent speaker at industry conferences worldwide. Paul received his BA in Government and Economics from the University of Sydney and his LL.M from London Metropolitan University.
|17 Aug. 2021||Deploying an Offshore SaaS Recording Solution for Microsoft Teams »||Paul Cottee||Comm. Compliance|
|22 Feb. 2021||Conduct starts from the top, ...and regulators will take action against banks which don’t walk the talk »||Paul Cottee||Regulations|
|15 Jan. 2021||FCA’s Market Watch 66 Establishes Clear Expectations for Firm’s Monitoring and Surveillance »||Paul Cottee||Regulations|
|14 Oct. 2020||With CFTC and Other Regulators Aggressively Pursuing Spoofing Cases, Firms Need A Safety Net »||Paul Cottee||Regulations|