Management Risk

CAROL FINLEY

Contact details: tel: UK 44-790*-***-***; US 575-***-****

* ******* *****, ******, ** 1UD

**** *. *** ******, ********, NM 88130

email: abnjjh@r.postjobfree.com

Professional Experience in Financial Markets

Risk Management

Liquid Capital Markets, London April-September 2008

-Responsible for tracking and analyzing risk exposure and making recommendations

to adjust positions of European single stock options. Monitoring of trading and

position PnL, position limits, market liquidity conditions and stress risk.

-Through thorough research and analysis identified a substantial and unknown risk in

a single stock complex derivative position of a European equity that was as a result

adjusted and rectified before costing the firm a substantial loss.

Options Market Maker

American Stock Exchange and Philadelphia Stock Exchange 1982-1994

-Market Maker in options, equities and financial futures as seat-owning member of

US stock exchanges.

-Established and managed portfolio of complex positions in index options, equity

options, bond and interest rate options. Expertise in low risk/high return trading,

arbitrage, and volatility trading. Careful attention to detail and accuracy, pro-active

approach to risk management.

-Experience in product control: calculating PnL, reconciling trades, accessing and

managing risk, monitoring margin requirements, dividend payouts, expiry risk, and

settlement issues.

-Highly numeric and analytical skills. Understanding of Greeks, differences in

European and American option classes, familiarity with exchange treatment of

special situation stock options involved in M&A deals.

-Traded hedged strategies, successful in making decisions during market

fluctuations and putting on profitable positions in special situations such as stock

takeovers.

-Provided option quotations through out the day to brokers seeking single option and

spread bid/ask prices in a variety of listed products.

-Managed disputed trade resolution.

-Good at managing market relationships and working with others.

Options Market Maker 1981-1982

Norman & Company

-Opened Philadelphia office for Chicago-based trading firm.

-Member: Philadelphia Stock Exchange

Clerk and Assistant Trader 1980-1981

Chicago Board Options Exchange

PTM & Company, monitored and adjusted portfolio option positions for 100+ stocks

JTK & Co, clerk for IBM broker, trained in option strategies

Other Work Experience

Writer 1994 to 2007

-Published four books: Art of the Far North: Inuit Sculpture and Prints, The Art of

African Masks, Aboriginal Art of Australia, and Art of Japan. Published by Lerner

Publications (USA)

-Two books won awards in the US from the Children’s Book Council

Personal Details

Education: Northwestern University, B.A Honours degree

Bryn Mawr College, Graduate program

Dual UK/US citizenship

References Available Upon Request

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