Charles H. Fiori, CFA

*** **** **** *****, **** Washington, New York 11050

646-***-****, acwdlj@r.postjobfree.com

@charlesfiori on Twitter;LinkedIn articles: https://www.linkedin.com/today/author/charlesfiori

Consistently successful consultative sales/business development professional possessing leadership and management experience in data, fixed income electronic trading software and platforms, trade processing/settlement operations, compliance, and strategy, in domestic and international markets. Consistent high sales performer.

Published author, effective public speaker & communicator. Contributor of original articles to LinkedIn, Inside Market Data, and realsport101.com. (Currently, my 98 posted articles have 70,000 distinct page views.)

CFA Charterholder (October 1998); FINRA Series 7. 24, 66 registered. Open to relocation.

Legend Securities, Consultant June 2015 – Jan 2016

o Compliance, regulatory management, sales and business operations projects for retail broker-dealer.

ReadQ Technologies, New York, Sr Sales Exec. Oct. 2013-August 2014

oProduced/ executed aggressive and creative business development/marketing plan for well-recognized provider of fixed income trade processing solutions. Target clients included national and regional banks and brokers.

oPursued contacts with FINRA, SIFMA and national/local trade groups at conferences and seminars.

Whitaker Securities, Consultant February-August 2013

oCompliance, operations, & management information projects for $25MM fixed income broker’s broker.

oTo upgrade internal systems, sourced, vetted, and interviewed clearing firms and major software vendors.

oTo replace paper blotters, using Excel, designed a trader front end from scratch .

oDeveloped profitability/activity analysis by sector, individual security, client, and broker as part of new management information module.

Wells Fargo Advisors, New York Financial Advisor May 2011- February 2012

oAggressive, methodical, highly organized prospecting and business development, achieved through networking and hosting of educational and social engagements, enabling the building of a national wealth management and retirement planning practice.

JP Morgan Securities, New York, VP, PricingDirect Sales February 2008-April 2009

oDrove introduction of legacy Bear Stearns pricing/valuations product into UK, Ireland, and Continental Europe.

oClosed 3 major clients in first year and sourced additional 30 active relationships. Exceeded goals for new business.

oCo-ordinated extensive testing, contractual, and deployment programs for clients. (special focus on Luxembourg).

oInitiated high-level contact with CFA Institute, Association for the Luxembourg Fund Industry, and Irish Fund Industry Association on educational effort for membership covering valuation of hard-to-value securities and derivatives.

Kestrel Technologies, New York Senior Vice President, Sales July 2007-January 2008

oRecruited to manage/market implementation of sales program for Kestrel’s fixed income front end and data businesses, including joint venture with NYSE & interface for regional dealers as alternative for Bloomberg platform.

Reuters America, New York Global Business Owner, DataScope March 2006-April 2007

Led Pricing and Reference Data business for Reuters Mutual Funds.

oDetermined strategy and business plan for Reuters’ $10 million Mutual Fund business.

oIntense focus on data sales to mutual funds led to $2mm in new revenue and 15 new clients.

oManaged virtual global team of 25 charged with sourcing and developing global content .

oLed Reuters’ Enterprise Information Products road show in US, Canada and Mexico.

oSurveyed mutual funds’ data usage and produced associated white paper, in conjunction with outside consultant, presenting findings to trade press.

Reuters America, New York Global Head, FI/FX/MM Content September 2004-March 2006

Managed Data Specialists, leading global activities for Fixed Income/Foreign Exchange/Money Market customers

oProduced content roadmap for Fixed Income and FX businesses. Clarified alignment of delivery schedules and priorities across regions and business units. Quarterly roadmap presentations to senior management. Developed strategic relationships with sales channels & management in EMEA, Asia, and Americas, to accurately align with client needs. Recognized for leadership in allowing for prioritization and effective change management.

oChaired Fixed Income Data Quality Working Group (DQWG). Senior member DQWG and Contributions Steering Committees, and regional content enhancement forums. Reported content effectiveness and quality on newly-formatted global scorecard.

FT Interactive Data, New York Director, North American Business April 2004-September 2004

Subject matter expert for Fair Value Information Service sold to mutual fund sponsors, bank and trust portfolios.

oExtensive marketing effort in conjunction with sales teams grew client base 60% within 6 months.

oIntroduced program to Canadian institutions, generating 5 new clients in first quarter.

oOrganized Fair Value Forum, attended by 200 clients, regulators, accountants, and attorneys.

International Securities Exchange / NexTrade, Consultant May 2003-April 2004

o(ISE) Developed specifications for a compliance function for futures exchange to be added to existing platform.

oSelected for project due to product management skills and familiarity with OM Technologies & US regulatory environment.;

o(NexTrade) Produced and implemented marketing plan, solicited new members, drafted specifications and launch schedule for proposed electronic FX futures exchange.

BrokerTec Global, LLC, Jersey City, NJ Senior Mgr December 1999-May2002

Member of founding team launching electronic bond platform for US governments, agencies, MBS, & Repo.

oCreated test plans and system specifications, and led Acceptance Test team for initial product delivery, working with Sweden-based software developer, OM Technologies. Spent 4 months on project transforming equity-oriented platform into one for trading of US Fixed income securities. Commuted between New York and Stockholm.

oAs head of New Business, managed client pipeline. Grew number of active trading firms by 500%; expanded to Asia and Canada, creating $10 Million in new revenue.

oHired/developed Help Desk/Dispute Resolution and Product Management teams. Grew TBA business to $1B daily, US Agencies business to $3B daily, and Repo business to $100B daily, in excess of plan.

oServed as Market Operations Manager during June 2000 launch. Managed securities and client databases, opening and closing of markets, and compliance with service level agreements.

Chicago Board Brokerage, Chicago / Optimark, Jersey City January 1998-Nov 1999

Sales/Marketing/Product Development for Electronic bond and equity trading platforms

o(CBB) Sole company representative situated on CBoT floor. Managed growth of client base in Chicago and New York markets. (OptiMark) Senior Training and Client Development Manager for New York institutional market.

Bear Stearns / Lehman Brothers, Chicago Vice President, F. I. Sales May 1992-January 1998

oTaxable and tax-exempt fixed income product sales to nationwide account base.

oProvided daily presentation and trade ideas to retail brokers in branch. Wrote market and economic commentary for branch newsletter. All concurrent with successful management and growth of my own book of business.

Goldman Sachs & Co., New York / Chicago Vice President, F. I. Sales 1984-1991

oBuilt significant financial institution client bases in New York and Chicago. All Taxable products.

oChosen to manage administrative functions for Chicago Institutional Fixed Income office.

oSenior recruiter at U of Chicago, Northwestern Kellogg School, and Washington U. Olin School.

EDUCATION

Columbia University Graduate School of Business, New York

Master of Business Administration, Finance

Columbia College in the City of New York, New York

Bachelor of Arts, Political Science

SKILLS

Sales / Product Management

Fixed Income Compliance/Operations Management

Electronic Trading Systems Development

Data/Data Management/BigData

Networking

Internal / External Communications

Writing and Public Speaking

French / German speaking/reading facility

Chartered Financial Analyst charterholder since 1998.

Series 7, 24, 66 licenses (CRD #1310008)

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