SunGard today announced that Deborah Mittelman has joined its BRASS business unit as senior vice president of compliance and product management. Ms. Mittelman has spent more than 20 years in the securities industry holding various positions in compliance, business development and technology. Most recently she was Instinetâs Technology Compliance Officer, with responsibility for ensuring that the firmâs products were compliant with industry regulations. Ms. Mittelman also spent 12 years at Goldman Sachs, where she was responsible for various equities-related technology efforts, including Nasdaq, prime brokerage and institutional sales systems. Ms. Mittelmanâs responsibilities at BRASS include the role of Regulation NMS program leader, which involves facilitating a new user group to help customers prepare for implementation of the new rules, among other things. She is also responsible for the BRASS Management & Compliance solution.
BRASS Management & Compliance is a modular solution that helps firms to manage their compliance obligations. The solution enables firms to analyze best execution, identify limit order display exceptions, prepare for SEC Rule 11ac1-5 and 1-6 statistics audits, and provide Rule 132 OTS data to the New York Stock Exchange.