Manager Management

Scott G. Fairclough

** ********* **** **** ****: 203-***-****

Redding, CT 06896 Email: ***********@**********.***

OBJECTIVE: To secure a corporate treasury position by leveraging my extensive financial services

experience, including: derivatives risk management/ trading/ marketing expertise, derivatives pricing/

valuation expertise, financial modeling, capital structure optimization, intelligent with ability to learn

quickly and solve problems, liaison between functional areas, entrepreneur and business builder, self-

starter with high motivation, strong understanding of finance products and markets, results oriented and

team player.

TOPSTONE CAPITAL ADVISORS, INC., Redding, Connecticut 2009 to the present

Founder

Founder of Topstone Capital Advisors, Inc., a financial and derivatives advisory service provider

Perform extensive work with several large issuers by providing interest rate risk management advice

Considered an industry expert on interest rate derivative portfolio management techniques:

o wrote an article for The Bond Buyer on May 24, 2010. The concepts from the article were

subsequently published in a chapter in a finance text book entitled “From Turmoil to Tomorrow:

The New Emerging World of Municipal Finance”.

o Member of advisory group of the City of Chicago providing consulting services on Swaps and

Derivative Portfolio matters

Developed proprietary interest rate derivative valuation models for use by clients and to increase user

efficiency and transparency

o Includes Refunding Candidates valuation model that uses multiple financial products to evaluate

each outstanding bond maturity for refinancing opportunities

STERNE, AGEE AND LEACH, New York, New York 2007 to 2009

Managing Director and Head of Interest Rate Derivatives Group

Procured investment banking business in the Northeast, Texas, and Southeast regions. This start-up

business resulted in 25 deals generating $7 million in revenue

Developed a “swaps-to-bonds” portfolio management approach to providing an analytical framework

for clients to optimize the decision to convert swaps to fixed rate bonds for an entire swap portfolio

Financial/ derivatives advisor to several borrowers

Consulted with the State of Tennessee to develop new swap guidelines to establish a risk management

framework

DEXIA, New York, New York 2005 to 2007

Managing Director- Head of Interest Rate Derivatives Group

Manager and producer that generated $4 million in revenue and executed approximately 30 transactions.

This included one of the first Public-Private Partnership closed in the U.S. for Chicago Skyway and

transactions for the Triborough Bridge and Tunnel Authority, NY MTA, several large hospitals and other

501c3’s

Established Dexia’s municipal interest rate derivatives desk –managed four sales/ trading professionals

and educated firm professionals

Established Special Purpose Vehicles to warehouse interest rate derivatives executed jointly with

regional investment banks

BNP PARIBAS, New York, New York 2003 to 2005

Senior Vice President and Head of Derivatives Marketing

Manager and producer that generated $5 million in annual revenue and executed approximately 45

transactions. This included the NY MTA, California Housing Finance Authority, several large hospitals

and other 501c3’s

Educated firm professionals in the US and France. This included about 12 professionals in the credit,

risk management, trading, legal, compliance, operations, desk staff, and senior management in NY and

Paris

Marketed and procured business through internal commercial bankers, external institutional financial

advisors and regional dealers

FIRST UNION CORPORATION, Charlotte, North Carolina 1998 to 2003

Senior Vice President- Head of IRD Group

Manager and producer that generated $40 million annually in trading and marketing revenue and

executed transactions in the middle market space

Expanded First Union’s existing interest rate derivatives business beyond simple swap (short-term

BMA Swaps) and investment products (GICS)

New capabilities included long-dated BMA and LIBOR based interest rate derivatives, Bermudan

o

and European swaptions, convertibles, bond and index based options and rate locks, security based

forward float investment products and sophisticated trading and hedging strategies

Marketed and procured business through internal investment bankers and regional dealer network

LEHMAN BROTHERS, New York, New York 1990 to 1998

Vice President Trading and Marketing- Derivatives Group 1993 to 1998

As a team, generated over $100 million in revenue annually

As a derivative trader, developed trading, pricing and risk management practices for management of

$30 billion plus multi-product interest rate derivative portfolio

Developed and launched new interest rate derivative products

Designed flexible call structures that allowed State Housing Agencies to execute bond structures that

covered the pre-payment risk, minimized the cost of pre-payment risk and reduced funding costs relative

to traditional forms of financing

Analyst/ Associate- New Products and Debt Strategies Group 1990 to 1993

STANLEY P. STONE & ASSOCIATES, New York, New York 1989 to 1990

EDUCATION

University of New York at Albany Albany, NY

Bachelor of Arts, Business Administration

May 1989

ADDITIONAL INFORMATION

Proficient with Excel, developing spreadsheet applications to increase productivity and efficiency, using

derivative valuation based Excel Add-ins, DBC, MS Word, PowerPoint, Bloomberg, Cash flow

modeling, risk assessment and modeling, derivative, bond pricing & strategy implementation and

valuation models, and strong management, marketing, new business, strategy, multi-tasking/

prioritization and project management skills.

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