John Malitzis

In my third year at BC Law, I took Corporations, which touched upon securities regulation (mostly insider trading). It was during that class I knew I wanted to pursue securities regulation. From that point on, I tried to get closer and closer to a job related to the field.

My first job out of law school was clerking for an administrative law judge at the U.S. Department of Labor in Washington, D.C. He was a great lawyer, and it was an incredible experience to be a young lawyer in a new city during an election year and change of administration (Bush to Clinton). I told my judge of my interest in securities regulation, and he mentioned it to a former colleague of his from the Department of Justice. She was a senior-ranking official in the Enforcement Division of the Commodity Futures Trading Commission (a sister agency to the SEC that regulates the futures markets) and, to my surprise, a BC Law alumna! So, I left the DOL and became a trial attorney at the CFTC.

From there, I got a call to work as a lawyer in the General Counsel’s Office of the National Association of Securities Dealer (n.k.a. FINRA), which also owned the Nasdaq Stock Market at the time. I moved there and worked doing appellate advocacy first (appeals of enforcement matters), and then I transitioned over to market regulation/market structure/market policy. I became head of market surveillance for the New York Stock Exchange and was an executive vice president in Market Regulation at FINRA.

I then went to work at Citigroup Global Markets and now am the chief surveillance officer for Citadel, which is both a broker/dealer and an investment advisor. In this role, I am in charge of developing and managing the trade surveillance and the electronic communications surveillance platforms globally. Specifically, I am responsible for building sophisticated surveillance systems to detect violations of laws and rules governing the trading of equities, options, futures, fixed income and swaps in the U.S. and abroad.

Surveillance combines my interest in trading and financial markets with my love of investigating and figuring out complex systems and rule. I also enjoy teaching and have guest lectured at law schools and business schools, including Catholic University, Hofstra, and Albany Law School.

One of my proudest accomplishments is becoming a dad with my husband Kevin whom I met in Boston in 1990 and have been with ever since. We are proud parents of 4-year-old twins, Sophia and Alexander. We live on the Upper West Side of Manhattan, and the twins keep us very busy with lots of activities. I am amazed about how much more they know and how much savvier than I was at their age. I feel blessed to have such a wonderful family.

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