Andrew G. Auslander, CFA, CFE, FRM has 36 years of finance experience, primarily in trading fixed income products for global investment banks and senior positions in risk management for banks, broker-dealers and an insurance company. He is an accomplished trader, risk manager, and investment manager.
Mr. Auslander possesses a deep knowledge of the institutional financial services industry, having 12 years of hands-on trading experience along with 13 years of deep risk management experience. He was Chief Risk Officer of a $9 billion registered investment adviser (“RIA”) registered with the U.S. Securities and Exchange Commission (“SEC”) and Head of Risk Management for a $11 billion bank and FINRA registered broker-dealer. He has deep experience in approving multi-billion dollar structured loans at Credit Suisse and approving all structured notes at Itau Private Bank as chair of the Risk and Asset Liability Committee.
He has deep experience in issuing margin calls and has been retained several times as a liability expert on Reg T margin, portfolio margin, Reg U securities-based loans (“SBLs”), and incorrect closeouts of brokerage and bank accounts. Mr. Auslander also has experience as a Portfolio Manager at a global macro hedge fund where he traded options, RMBS and other mortgage-backed securities, US Treasuries, corporate bonds, equities, and futures.
Mr. Auslander started trading at Salomon Brothers in both New York and London where he executed complex trades in foreign exchange, interest rate futures and options, and repo markets for its interest rate arbitrage area. He financed Latin American and Eastern European bonds, and traded options, futures and total return swaps.
Previously Mr. Auslander held 3, 7, 24, 55, and 63 licenses.
SER Voting Member
Curriculum Vitae