Project Manager Management

BRIAN P. DENNEN

BRIAN

* ********* **., **********, ** 94608 M. 415-***-**** E. abnlqd@r.postjobfree.com

Senior Compliance, Operations FINOP responsible for oversight of firm compliance programs, policy management, regulatory reporting.

Education

Education

University of California, San Diego

BS in Management Science Economics with emphasis on Business Communications

Relevant Course Work - Financial Investment, Economic and Business Forecasting, Accounting, Corporate Finance, Options and

Derivatives, Economics and Finance

Current FINRA Licensed Series 4, 7, 24, 27, 63

Regulatory Compliance Administration FINOP, Regulatory reporting

FINRA, SEC, and CTFC P&L, cash forecasting, AP, AR, GL, Audit, Tax

Corporate Compliance Training and Regulation

Anti-Money Laundering - Suspicious Activity Reporting

(SAR) FINRA, SEC, CTFC

Firm Element Continuing Education

CRD Registration Development of Regulatory Compliance Programs

Corporate IT Policy and Administration Equities and Options Trading Compliance

Conduct Branch Audits

FOCUS Reporting

Maintain Written Supervisory Procedures

Operations Management Principals and Practices

Professional Experience

Professional

Iron Capital Securities, San Francisco, CA 11-08 to Present

Chief Compliance Officer

FINOP/Acting CFO

• Act as key member of management staff responsible for Corporate Compliance, Finance, Human Resources, IT, Facilities.

• Represent the firm in communication and interaction with regulatory bodies.

• Identify compliance risks from every business line and manage by providing training, advice, testing and monitoring.

• Define and manage overall compliance program for broker-dealer based on investment advisory rules and regulations.

• Responsible for FOCUS reporting, filing, FINRA and SEC broker-dealer reviews and audits.

• Successfully launched Iron Capital Securities, LLC as a new member of FINRA, and Iron Capital Advisors, LLC as a Registered

Investment Advisor (RIA).

• Responsible for P&L, cash forecasting, maintain banking relationships.

• Practice financial management responsibility: Policy, Compliance, Controls, (AP, AR, GL), Reporting, Audit, Cash Management,

Tax, FINOP.

• Finance team player, structuring 6 private equity investments in 8 months (PPM).

• Responsible for overall facilities, oversee IT infrastructure, policy, controls, regulation, purchasing, procedure, negotiating

contracts.

• Collaborate in definition of human capital development, workforce planning, compliance training, controls, internal/external

communication and integration.

• Corporate Employee Communication, Training, and Monitoring.

Urchin Capital Partners, LLC, San Francisco, Boston, New York 2-06 to 1-08

Director, Compliance and Operations

FINOP

:

• Act as key member of management staff, overseeing Finance, Compliance, Human Resources, IT, Facilities in 3 National

locations, Boston, New York, San Francisco

• Represent the firm in communication and interaction with regulatory bodies.

• Established firm as a new member with the National Association of Securities Dealers (NASD). Authored and implemented

operations procedures for firm.

• Define and manage overall compliance program for broker-dealer, SEC and investment advisory rules and regulations.

• Responsible for FOCUS reporting, FINRA and SEC broker-dealer reviews, SEC investment advisory and audit.

• Responsible for P&L, cash forecasting, maintain banking relationships (AP/AR/GL).

• Built out trading operations and integration with Bloomberg Order Management System.

• Collaborate to define human Capital development, workforce planning, compliance training, controls, internal/external

communication and integration.

• Set up and oversaw company Health Insurance, Benefits Plan and 401K (Fidelity).

BRIAN P. DENNEN

BRIAN

6 Commodore Dr., Emeryville, CA 94608 M. 415-***-**** E. abnlqd@r.postjobfree.com

Terra Nova Trading, San Francisco, CA 11-04 to 1-06

International Institutional Sales Director

• Managed team responsible to enroll trading relationships with international firms seeking to trade US equities and options

through a direct market access platform.

• Workforce planning, recruitment, retention and training programs.

• Identify compliance risks from sales business practice, manage by providing training, advice, testing and monitoring.

• Provide compliance training and guidance to sales staff.

• Regularly updated compliance programs or roadmaps offering details about trading activities and regulatory requirements to

ensure compliance with regulations.

• Review all marketing copy for compliance.

• Organize document requests and compliance information for compliance examinations.

• Helped in development and management of the sales organizations’ enterprise-wide compliance management.

Redwood Trading, LLC San Francisco, CA 11-02 to 8-04

Compliance Officer

FINOP Principal

• Managed compliance program for broker-dealer for 4 offices: San Francisco, Orange County, Miami and Las Vegas.

• Represent the firm in communication and interaction with regulatory bodies.

• Identify compliance risks from every business line and manage them by providing training, advice, testing and monitoring.

• Organize document requests and compliance information for compliance examinations.

• Implemented and maintained financial (AP/AR/GL) and company internal audits.

• Responsible for regulatory compliance, audit and financial reporting, FINOP.

• Administered corporate tax filings, licensing, audits, agreements, and trading compliance.

Share King, Inc/Mr. Stock, San Francisco, CA & Chicago, IL 4-99 to 10-02

Compliance Manager

Client Services Manager

• Created and managed regulatory compliance continuing education program.

• Represent the firm in communication and interaction with regulatory bodies.

• Regularly updated compliance programs or roadmaps offering details about trading activities and regulatory requirements to

ensure compliance with regulations.

• Revised and updated firm supervisory and operation procedures.

• Recruitment to onboard and overall management of newly formed Client Service Team of 22 in Chicago office.

• Reviewed all marketing and advertising copy.

• Audit branch offices.

• Acted as liaison to General Counsel.

• Developed tax reporting program using Crystal Reports, filed clients 1099 tax related information with IRS.

• Implemented Anti-Money Laundering Program and AML audits.

• Managed Clearing conversion to omnibus clearing relationship with Merrill Lynch Professional Clearing Corp.

Montgomery Securities, San Francisco, CA 06-98 to 03-99

Project Manager IT Compliance

• Reported to Director of Information Technology department with status.

• Carried out supervisory and operations procedures.

• Responsible for the updating and implementing compliant software.

• Worked with software vendors and internal customers.

• Regularly updated IT compliance programs or roadmaps offering details about trading activities and regulatory

requirements to ensure compliance with regulations.

Skills/Licensing

Current FINRA Licensed Series 4, 7, 24, 27, 63.

QuickBooks, Microsoft Office, Bloomberg, Net Exchange

Mentor with BUILD.org

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