BRIAN J. RIORDAN

*** *** **** **** **** 203-***-****

Stamford, CT 06903 Mobile 203-***-****

acqja0@r.postjobfree.com

Summary

Senior Financial Professional with extensive experience in the Fixed Income, OTC Derivative Markets and FX. Involved in all aspects of the Securities Industry: Structured Finance, Investment Banking, Trading, Settlements, Finance, Risk Management, Portfolio Pricing, Swaps Middle and Back Office, Operations Management, Marketing, Prime Brokerage and Client Relationship Management. Seasoned veteran, resourceful in problem-solving situations. Former Registrations: Series 7 and Series 63.

Experience

R.W. Pressprich, New York, NY March 2014 – Present

Senior Manager, Middle and Back Office Operations

Support 60 Traders and Sales coverage for Fixed Income and Equity products

Handle client inquires relating to trade input and trade matching from trading counterparties

Enhanced trade capture for Canadian Equities with Bloomberg and Pershing securities reducing credit exposure and improving STP processing

Enhanced Daily Management reporting (Daily Fails report, FINRA trade price difference report) with improved functionality

Enhanced client allocation notifications for equity trades to flow into Bloomberg SSMO Equity trade capture system creating STP processing

RBS Securities, Stamford, Connecticut Sept 2012 – June 2013

FX Prime Brokerage, Operations

FX Prime Brokerage Support Team

Handle client inquires relating to trade input and trade matching from trading counterparties

Answering queries from internal groups: Margin, Confirmation, Settlements, Collateral

Run EOD processes: Risk Analysis, Issues hand over

Monitoring Prime Broker Risk systems to ensure positions are flat, no exposure

Improved Metals trade capture for four clients resulting in straight-through processing (STP) of 800 trades monthly

Worked with Client to address rounding issues for second currency resulting in STP of 200 trades per day

Coordinated with PB Doc’s team to obtain limit increase (2.5bil to 3.0bil) resulting in STP of 300 trades daily

RBS Securities, Stamford, Connecticut Nov 2011 – Sept 2012

Consultant, Interest Rate Derivatives

NY Trade Support Team

Daily reconciliation of break report between Internal trade capture system and Markit Wire

Answering queries from internal groups: Confirmation, Settlements, Collateral

Work with counterparties and clients to resolve confirmation issues in Markit Wire, DTCC or Paper Confirms

NY Rates portfolio optimization Team.

Work with counterparties to collapse and load trade assignments from mutual clients to Markit Wire and eventually London Clearing House.

Analyze and streamline current workflow for improvements and future enhancements.

Assist team members with their daily responsibilities.

GlobeOp Financial Services, New York, New York May 2010 – Aug. 2011

Associate Director, OTC Derivatives

Managed staffs of seven Client Service Representatives responsible for Trade Support and Collateral Processing for 35 OTC Clients using Reuters Kondor Plus Trade capture system.

Worked with Clients and Technology to gain better trade capture resulting in a savings of 100 man-hours per week.

Worked with Clients and Technology to build an exception based macro which provided an automated solution for trade matching on MarkitSERV for IRS and Swaption trades resulting in savings of 200 man hours per week.

Steering Chair of GoPayments committee. Charged with setting direction for systems enhancements and project prioritization.

Member of GlobeOp Central Clearing Committee working on Technology solutions for Clients to be able to successfully capture OTC trade in the Ruters Kondor + system in compliance with the Dodd-Frank Act of 2010.

Lehman Brothers Inc., New York, New York Jan. 2008 – Nov. 2008

Senior Client Service Manager, Capital Markets Prime Services

Member of the Senior Management Operating Committee.

Manage staff of seven Client Service Representatives.

Managed Proxy project for LBIE bringing Lehman compliant with SEC Regulations.

Worked with other Senior Managers on Client Service Re-organization and alignment.

Participated in junior representatives teach-ins.

Worked with all areas of prime brokerage to enhance Lehman’s development of better client facing technology.

Sailfish Capital Partners, LLC, Stamford, Connecticut June 2005 – Jan. 2008

Director of Operations

Member of the Senior Management Operating Committee.

Provided strategic advice to the firms COO.

Managed all Middle and Back Office operations.

Assisted in negotiations of services and fees to be provided by our Fund Administrator and Prime Brokers.

Established policies and procedures for aspects of operations.

Managed staff of 15 -- 11 Trading Assistants and four Operations professionals.

Responsible for the weekly processing of 1,500 trades in all product lines: CDS Trades, High Yield and High Grade Corporate Bonds, Distressed Debt, Emerging Markets, Rates and Agencies, Convertible Bonds, Mortgages, CDO’s, FX and Bank Debt.

Responsible for daily cash reconciliation between GlobeOp (Fund Administrator) and all Prime Brokers.

Coordinated Documentation for Issuance and settlement of all CDO placements and outright purchases.

Assisted in Presentation for new Investors and Due Diligence meetings for current investors.

Worked closely with all Prime Brokers (Lehman Brothers, Goldman Sachs, Morgan Stanley, Credit Suisse and UBS) to resolve daily issues related to trade settlements and financing.

Helped manage Funds Administrator relationship with GlobeOp Financial Services and Reuters Kondor Trade Capture system for OTC and Fixed Income trades.

Established procedures related to cash wire movements to counterparties and between Prime Brokers.

Mariner Investment Group, Mamaroneck, New York July 2004 - June 2005

Operations Manager

Managed Derivative Middle and Back Office operations.

Established policies and procedures for payment of CDS Swap fees to counterparties.

Reconciled over 1,000 CDS trade, which were not properly, novated with counterparties street-wide.

Centralized repository for all counterparty CDS trade recaps for easier trade and payment reconciliation.

Reconciled 6mm dollars of open cash receivables related to CDS Swap fees.

Established Swap documentation retention program.

Managed staffs of fourteen responsible for the processing of all trade capture and account reconciliation for various Portfolio Managers.

Coordinated Documentation for Issuance and settlement of all CDO placements and outright purchases.

ACE Financial Solutions, Inc., New York, New York Nov. 1997 – Jan. 2004

(Formerly CGA Investment Management, Inc.)

Vice President- Operations Manager

Managed Competitive Bid process for $1.3 Billion of fixed Income assets and 600mm of Interest Rate Swaps during the runoff of the portfolio holdings.

Maintained back office accounting, trade processing and clearing systems.

Maintained and processed asset and swap transactions totaling $2.5 Billion of various fixed income investments, including, ABS, HEL, CMBS, and REIT preferred shares.

Managed swaps middle office including documentation, rate resets, and cash settlements.

Administered $2 billion Euro medium term note program, which involved liability settlements, cross currency swap processing, pricing supplements documentation and currency exchange.

Administered Monthly and Quarterly distributions for HEL, REIT and CDO of CDO’s Re-Securitizations.

Reconciled 14 portfolios activity.

Developed Cash Management Spread Sheet and Executed Daily Cash Management Trades.

Compiled comprehensive files of all transactions: trade tickets, credit write-ups, prospectuses, and funding requests and swap contracts.

Prepared month-end portfolio performance reports for management and investors.

Documented internal controls and procedures for ACE Internal Audit division.

Selected and implemented back office accounting, trade processing and clearing systems.

UBS Securities LLC, New York, New York May 1986 – Nov. 1997

Asset Backed Trading Desk - Assistant Trader (1992-1997)

Processed trades and daily reconciliation of desk positions and profit and loss statement.

Prepared daily offering sheet for distribution to sales force and client base.

Maintained Excel-based ABS database for over 700 ABS issues, updated new issues, added and/or updated cash flows where needed.

Compiled comprehensive prospectus file of asset backed securities issues.

Prepared month-end quote sheet of over 400 ABS issues and mark to market of investor’s portfolios.

Worked closely with back office to resolve trade discrepancies and settlement issues.

CMO Trading Desk - Assistant Trader (1991-1992)

Processed trades and daily reconciliation of positions and profit and loss.

Prepared daily offering sheet for distribution to Sales force.

Marked to market of investor’s portfolios.

Monitored broker market offerings for possible trade opportunities.

Mortgage Finance, Analyst (1989-1991)

Reverse engineered competitors CMO structures.

Compiled collateral list for deal closings of UBS Securities REMIC’s.

Provided support analytics for the CMO trading desk.

Mortgage Backed Operations - Assistant Manager (1986-1989)

Responsible for all aspects of the daily operation of the MBS Department: Receive and Deliver, Allocation, Midwest Clearing, Principal and Interest. Worked closely with Repo desk funding positions.

Systems experience:

Sailfish Capital and GlobeOp – Reuters/Kondor Plus

Sailfish Capital – DTCC

Sailfish Capital – Bloomberg API

RBS Securities – Traiana/Harmony FX

RBS Securities - Global Derivative System (GDS)

RBS Securities – MarkIt Wire

R.W. Pressprich- Bloomberg TOMS (Fixed Income) Trade Capture System

R.W. Pressprich- Bloomberg SEOMS (Equities) Trade Capture System

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