Mr. Lulgjuraj advises clients on compliance matters, risk management, and regulatory strategy in over-the-counter derivatives. He has expertise in the swaps and security-based swaps regulations under Title VII of the Dodd-Frank Act. His projects include swap dealer and security-based swap dealer operational and compliance framework assessments, assessment and revision of policies and procedures, control assessments, governance framework reviews, trade reporting, and swap documentation testing and review.

He was previously a Manager within Ernst & Young’s consulting practice. In this capacity, he managed regulatory transformation projects across front office, middle office, operations, compliance, legal, technology, and risk by conducting current state assessments, target operating model designs, business and functional requirements drafting, implementation, testing, and BAU training. He supported many security-based swap dealers with their efforts to register with the Securities and Exchange Commission.

Mr. Lulgjuraj has led teams of consultants in conducting compliance reviews and regulatory assessments for swap dealers and security-based swap dealers. His specific areas of expertise are within registration, associated persons, trade reporting, recordkeeping, documentation, and business conduct.

He graduated summa cum laude from Fordham University’s Gabelli School of Business with a major in finance and minor in economics.