Drawing on decades of securities industry experience, Andy Mannarino counsels broker-dealers, investment advisors, futures commission merchants, swap dealers, and proprietary trading firms in regulatory compliance and enforcement matters in various subject matter areas, including regulatory transaction reporting and market access.
Andy leverages his knowledge of trade processes and technologies utilized throughout all phases of the trading lifecycle; his regulatory compliance expertise across equity, fixed income, and currency products; and experience with both front office and back-office operations to help clients develop practical approaches that address evolving and complex issues under U.S. federal and state securities and commodities laws and regulations.
Before joining McGuireWoods, Andy held several legal, compliance, and supervisory roles within the securities industry, including at one of the world’s largest market-making firms where he oversaw the compliance program for client-facing businesses and supervised the firm’s regulatory transaction reporting program globally, including with respect to the Consolidated Audit Trail (CAT), Electronic Blue Sheets (EBS), FINRA/NYSE/NASDAQ TRF, FINRA ORF, TRACE, Swap Data Repository (SDR) MiFid 2, Securities Financing Transaction Reporting (SFTR) and EMIR reporting, among other areas. Andy also was one of the first professionals in the industry hired to build an electronic trading compliance program.
Andy has a longstanding commitment to diversity, equity, and inclusion. In 2019, he was honored with the Securities Traders Association Women in Finance Committee’s Ken Heath Award, which recognizes men in the financial services industry who work to advance the careers of women on Wall Street. He is also a former co-chair of the New York State Bar Association’s Diversity Internship Committee.
- Regulatory Transaction Reporting
- Market Access
- Electronic, Algorithmic, and High Frequency Trading
- Best Execution
- Regulation SHO
- Regulation NMS
- Conflicts of Interest
- Market Abuse
- Surveillance and Control Design
“I develop strong relationships with clients by relying on my years of experience to get to know their business processes and flows comprehensively and utilizing this knowledge to provide clients with actionable, implementable solutions.”
- Pace University School of LawJD2008
- State University of New York at OneontaBA1993
Recipient, “Ken Heath Award,” Securities Traders Association’s (STA) Women in Finance Section, 2019
- New York
- New Jersey