Manager Assistant

JOHN P. MIGNONE

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*** **** ** ****** *** *D New York, New York • 914-***-**** • *********@*****.***

EDUCATION

BARUCH COLLEGE – ZICKLIN SCHOOL OF BUSINESS • Masters of Science – Finance • New York, New York • June 2013

PROVIDENCE COLLEGE • Bachelor of Science- Finance • Providence, Rhode Island • May 2002

EXPERIENCE

GOLDMAN SACHS • Associate – Regulatory Reporting • Jersey City, New Jersey

May 2012- Present

• Member of a six-person regulatory reporting team responsible for all trade and investment threshold analysis and broker-

dealer disclosures.

• Research regulations and firm policies for all beneficial ownership with all trading and investment banking queries.

• Analyze individual companies’ 10-K and other financial disclosures for business and industry specific regulations.

• Evaluate regulatory/civil complaints, draft language and file regulatory disclosures of all U.S. registered broker-dealers.

Associate – Global Compliance Employee Services

March 2011- May 2012

• Researched and applied pay to play laws and internal policy to vet employee political contributions.

• Liaised with employees to apply regulations and firm policies pertaining but not limited to private investments and outside

interests.

• Maintained and coordinated with divisional compliance the SEC 206(4)-5 Investment Advisor and MSRB G-37 Municipal

Finance Professional lists.

MORGAN STANLEY • Associate- Domestic/International Equities – Execution Trader/ Trading Assistant • New York, New York

September 2007- November 2010

• Traded the international ADR/ORD swap cross-book with IDBs to achieve best client execution and cost savings ($10

million cost savings for clients, year-over-year from 2008-2010).

• Provided comprehensive market research of products transacted (i.e. futures, equities and options in the US, Europe,

LATAM, Asia).

• Located and negotiated borrow fees to cover short positions and convert stock when there are arbitrage opportunities.

• Coordinated with stock loan, depository banks, compliance and IDBs to meet and realize all arbitrage opportunities.

• Executed FX transactions to hedge currency exposure and facilitate ADR/ORD conversion trades.

• Reconciled all foreign/domestic equities traded by the desk. Monitor positions and P/L for the aforementioned equity

products.

• Liaised with Morgan Stanley’s Equity/Cash trading desk for all issues including mitigating risk.

• Project managed new business initiatives for trading desk and coordinate testing/ production of new products.

GFI GROUP INC. (Recruited by former Manager at Sanford C. Bernstein) • Vice President of Middle Office • New York, New York

September 2006- August 2007/ October 2005- May 2006

• Managed ten-middle office trading assistants covering multiple trading desks. Project managed testing and

implementation new trading OMS system Royal Blue Fidessa for entire trading floor.

• Research and reconciled daily, monthly and yearly positions and P/L for U.S Equities desk. Negotiated with vendor and

prime broker on new product costs and implementations.

J.L. BERKOWITZ L.P. (Recruited by former Trader at Sanford C. Bernstein) • Trader/Research Assistant • New York, New York

May 2006- September 2006

• Traded, researched and risk managed equity/option trading desk positions for long/short strategy hedge fund.

SANFORD C. BERNSTEIN- Subsidiary of Alliance Capital • Trade Support - U.S. Equities • New York, New York

October 2003- October 2005

• Researched and resolved position, trade, and money discrepancies post trade date for U.S. and European equity desks.

PALOMA PARTNERS MANAGEMENT COMPANY • Operations Analyst - Reconciliation and Control • Greenwich, Connecticut

December 2002- May 2003

• Identified, analyzed and disclosed position and cash break discrepancies for multiple hedge funds.

CREDENTIALS, SKILLS AND MEMBERSHIPS

• FINRA 7 & 63

• Significant experience using Bloomberg, Reuters, ILX, Visio, Instinet, NYFIX, Brass, EZ Castle, E*Trade Click Trader,

Capital IQ, FactSet, OATS/ACT/TRACE,and Fidessa.

• Member of the American Finance Association- The Finance Journal and Association of Financial Professionals

• Member of the New York State Saint Andrews Society

Junior Westchester Member 2004-2006

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Committee representative for grant recipients 2009-Present

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