Open to opportunities

David Foster

@davidfoster

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I analyze market surveillance and AML activity to protect financial institutions and advise teams.

United States

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What I'm looking for

I’m looking for a financial-crime or market-surveillance role where I can run transaction monitoring and analytics, document findings for regulators, and partner with trading/compliance teams to strengthen risk controls.

I currently work as a Market Surveillance & AML Analyst with Guidehouse, conducting market surveillance for a global investment bank across equities, fixed income, and derivatives. I analyze alerts using automated monitoring tools, reconcile trading activity against market events and disclosures, and produce detailed reports for internal governance and regulatory inquiries (FINRA, SEC, FCA). I also perform AML transaction monitoring, including suspicious wire activity, structuring, and high-risk customer behavior, supporting KYC/EDD and SAR preparation.

Previously at Charles Schwab, I served in Fixed Income trading and advisory roles—managing complex fixed income trades (CDs, treasuries, foreign bonds, structured products) and delivering fixed income portfolio analysis for high-net-worth clients. I partnered with relationship managers to drive client engagement, identified cross-sell opportunities through portfolio and external-asset analysis, and supported clients with trading execution and education across platforms. I hold FINRA Licenses Series 7 and Series 63 and combine market research tools with strong compliance and risk focus (market surveillance, AML, transaction monitoring, SAR support, KYC, EDD).

Experience

Work history, roles, and key accomplishments

Market Surveillance & AML Analyst

Guidehouse

Nov 2024 - Feb 2026 (1 year 3 months)

Conducted market surveillance for a global investment bank, monitoring equities, fixed income, and derivatives to identify potential market manipulation and abusive trading. Performed AML transaction monitoring, including KYC/EDD reviews, and supported SAR preparation and escalation for BSA/AML compliance.

Market Surveillance Transaction Monitoring KYC Enhanced Due Diligence (EDD)Equities Derivatives

Fixed Income Trading Advisor

Charles Schwab

Feb 2022 - Sep 2024 (2 years 7 months)

Served as a trusted advisor to registered investment advisors, providing fixed income strategy guidance and portfolio analysis across multiple security types. Partnered with relationship and business development teams to promote fixed income offerings and support client engagement and portfolio growth.

Asset Allocation Mortgage Backed Securities Client Advisory

Senior Fixed Income Retail Trader

Charles Schwab

Apr 2020 - Feb 2022 (1 year 10 months)

Managed complex fixed income trades, including CDs, treasuries, foreign bonds, and structured products, ensuring alignment with client needs and industry regulations. Identified cross-sell opportunities through client asset analysis and produced fixed income portfolio analyses for high-net-worth clients to support data-driven investment decisions.

Fixed Income Trading Structured Products Cross Selling CDS

High Net Worth Trading Specialist

Charles Schwab

May 2019 - Apr 2020 (11 months)

Advised high-net-worth clients on market trends and investment opportunities, aligning trading strategies with Schwab’s wealth management principles. Executed equity, mutual fund, and options trades and educated clients on Schwab trading platforms to support informed decision-making.

Equity Trading Mutual Funds Trading Options Trading Wealth Management

Financial Service Professional

Charles Schwab

Jan 2018 - May 2019 (1 year 4 months)

Guided clients through Schwab’s online trading platform, supporting account navigation, trade execution, and access to educational resources. Used consultative conversations to identify opportunities to refer clients to Schwab trading and advisory services, while resolving account inquiries and promoting additional products.

Trading Support Client Onboarding Trade Execution Consultative Selling Customer Service

Inside Sales Representative

Waste Management

Apr 2017 - Jan 2018 (9 months)

Managed a portfolio of small-to-medium business clients, ensuring waste management services met federal and state regulatory requirements. Built customized service solutions that improved operational efficiency and increased profitability for commercial contracts.

B2B Sales Account Management Waste Management Contract Management Regulatory Compliance Revenue Growth

Commercial Service Advocate II

Farmers Insurance

Nov 2015 - Jun 2016 (7 months)

Supported internal customers by resolving complex account-related queries and clarifying underwriting guidelines. Analyzed commercial insurance policies and recommended coverage improvements while addressing compliance with industry standards.

Commercial Insurance Policy Analysis Compliance Customer Support

Ticket Service & Sales Consultant

Aspire Sports Marketing Group

Jul 2013 - Nov 2014 (1 year 4 months)

Managed a portfolio of season ticket holders and donors, achieving a 90% retention rate and generating $102,900 in new revenue for the 2014–15 athletic season. Conducted in-person consultations at athletic events to maximize renewals, upsells, and referrals.

Ticket Sales Client Retention Donor Relations Upselling Consultation