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Manager Office

Location:
Brooklyn, New York, United States
Posted:
June 25, 2019

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Resume:

ODAIN

C.

FERGUSON

Wood

Ridge,

NJ

*****

ac9oxt@r.postjobfree.com

201- 674- 4159

www.linkedin.com/in/odain- ferguson BUSINESS

CONTROL

OFFICER

Diverse

Investment

Bank

and

Wealth

Management

Expertise Inspirational

manager

who

leverages

years

of

hands- on

control

function

roles

within

audit,

compliance,

operational

risk,

quality assurance

and

supervisory

oversight.

Lead

by

example

to

cultivate

trustworthy

and

consultative

environment

that

ultimately

aids in identifying risk and key control gaps within firm’s Front and Back Office operational frameworks. Enrich team dynamic by continuously

engaging

in

optimistic

and

results- driven

collaborations.

Build

and

foster

strong

rapport

with

senior

management and

communicate

complex

concepts

in

common

terms

to

promote

sound

business

decisions. Areas

of

Expertise:

Risk

Control

Assessment

Audit

Methodology

Regulatory

Reporting

Investment

Products Management

Control

Assessments

Quality

Assurance

Methodology

Trade

Surveillance

&

Analytics

Policy

and Procedure

Writing

PROFESSIONAL

EXPERIENCE

JP

Morgan

Chase,

New

York,

2017

-

Present Vice

President,

Securitized

Products,

Business

Control

Officer Provides

explicit

Front

Office

(Sales

&

Trading)

support

by

acting

as

a

vital

point

of

escalation

for

CIB

functions.

Prime

function to

govern

action,

and

coordinate

remediation

of

control

gaps

identified

by

Regulators,

Internal

Audit

and

Compliance. Ultimately,

bolstering

first

line

of

defense

by

vetting,

validating

and

implementing

strong

controls

methodologies.

● Lead

responses

to

Federal

Reserve

Board,

SEC

&

OCC.

Engineered,

built,

and

managed

Supervisory

framework

across

Markets 15

lines

of

Investment

Banking

businesses

to

readily

evidence

adherence

to

regulation

and

firm

wide

policy.

● Chair of Global Business Control Forum for Securitized Products Group comprised of 14 core groups. Responsible for escalation

of

topics

to

Board

Committee

to

decide

on

material

operational

risk

issues,

metric

targets,

and

threshold

breaches that

may

lead

to

conduct

risk

issues

● Chair of Underwriting Commitments Committee, alongside Legal and Credit Risk functions, tasked with reviewing the adequacy

of

the

firms

due

diligence

investigations

performed

on

Securitized

Products

Offerings.

Potentially

approving

private side

deals

structured

and

originated

by

ABS,

RMBS,

and

CMBS

deal

teams

while

opining

on

potential

reputational

risk

to

firm.

● Simultaneously

managed

regions

of

teams

comprised

of

offshore

support,

Technology,

Middle

Office,

Product

Control,

and Capital

Management

to

successfully

build

and

implement

Regulatory

and

firm

mandates

such

as

Basel

III,

Reg

W,

Reg

Y,Reg

O, Commercial

Fair

Lending,

and

Merchant

Banking

across

Securitized

Products,

Credit

Trading.

Public

Finance

and

Tax- Oriented Investments.

BARCLAYS

CAPITAL,

New

York

Vice

President,

Remediation

Office

Quality

Assurance

2012

-

2017 2016

-

2017

Executed quality assurance methodology over 8 work streams comprised of over 100 Ernst & Young financial analysts, legal counsel, and private consultants. Charged with remediating regulatory and firm- identified client issues. Reviewed sensitive program

documentation

for

completeness

and

accuracy.

● Provided

testimonial

evidence

to

Regulators

to

address

inquiries

in

conjunction

with

outside

legal

counsel,

mitigating potential

negative

financial

impact.

● Increased

program

productivity

by

translating

complex

banking

activity

for

consultants,

identified

and

compiled

essential components

to

complete

work

prior

to

program

commencement.

Checked

and

challenged

program

decisions,

minimizing

possible

monetary

and

reputational

harm

to

firm

and

clients. Streamlined

building

of

automated

remedial

tools

to

complete

large- scale

analysis,

saving

program

budget

and

shortening deliverables.

ODAIN

C.

FERGUSON

ac9oxt@r.postjobfree.com

PAGE

TWO Vice

President,

Oversight

and

Supervision

(Continued)

2014

-

2016 Managed

branch

supervisors

for

entire

Wealth

Americas

network

on

daily

basis.

Performed

oversight,

trade

surveillance

and authored supervisory procedure for 13 branches. Created, implemented, and

monitored governance framework, ensuring front

office

adhered

to

regulatory

as

well

as

firm

policies.

● Revamped FINRA supervisory requirement by automating complex trade surveillance processes, cutting 28 hours of analysis

time

per

month.

● Functioned

as

business

risk

manager,

serving

as

escalation

point

to

identify,

document,

and

remediate

over

200

internal and

external

risk

events,

coordinating

lessons

learned

internationally

and

domestically

to

mitigate

recurring

risk

across firm.

● Managed,

coordinated,

and responded to

SEC,

FINRA regulatory requests,

compliance

action

plans,

and internal

audit findings by coordinating

with internal control partners to define strategic and tactical remedial actions, passing

more than

10

regulatory

and

internal

audits.

● Managed

and

integrated

large

risk

and

control

assessment

for

Americas

as

part

of

migration

of

supervisory

functions

to Pershing

broker

dealer

platform.

Mapped

over

250

supervisory

controls

across

more

than

300

business

process

flows, resulting

in

Wealth

Americas’

first

automated

enterprise

rule

engine. BARCLAYS

CAPITAL

(Continued)

Assistant

Vice

President,

Internal

Audit

Manager

2012

-

2014 Conducted

design

effectiveness

assessments

and

operational

effectiveness

assessments

during

front

to

back

Front

Office

and Back

Office

Audits.

Including

providing

assurance

to

managements

risk

self- assessments,

firm

governance,

and

remedial

plans.

● Managed

all

phases

of

Audit

process,

including

planning,

detailed

fieldwork,

and

testing.

Worked

closely

with stakeholders

to

complete

audits

in

timely

fashion.

Aided

senior

management

with

SEC

and

FINRA

inquiry

responses

by recommending

tactical

solutions

to

convey

clear

and

accurate

information.

● Conducted investigations, unearthing harmful potential risk events, and crafted measurable issues and action plans alongside

accountable

executives,

mitigating

future

damaging

impacts

to

firm. MORGAN

STANLEY

SMITH

BARNEY,

Short

Hills,

NJ

2006

-

2012 Compliance

Analyst,

Daily

Trade

and

AML

Monitoring,

Complaints

Handling,

Audit

Coordination

2010

-

2012 Analyzed

trade

data

and

gathered

sensitive

firm

documents

to

partner

with

senior

compliance

officer

to

respond

to

FINRA and

Internal

Audits.

● Monitored

risk

and

compliance

platform,

ensuring

financial

advisor

investment

activity

was

in

line

with

firm

policy. Analyzed

trade

frequency

of

equity,

bonds,

fixed

income,

mutual

funds,

and

options

for

suitability,

enforcing

strict adherence

to

client

investment

objectives

and

avoiding

regulatory

sales

practice

concerns.

● Performed portfolio stress testing, predicting portfolio outcomes, and educating financial advisors with analysis to continue

avoiding

breach

in

compliance

and

regulations,

resulting

in

0

findings

during

FINRA

and

branch

audits. Branch

Analyst,

Morristown,

NJ

2007

-

2010 Facilitated

equity

and

bond

trade

order

entry,

executed

internal

and

external

asset

and

security

transfers,

bearer

bonds processing,

client

incoming

and

outgoing

correspondence

processing.

● Operated firm trade order entry system for equity, fixed income, mutual fund, and options on behalf of sales force, preventing

risk

in

trade

processing.

● Reconciled

branch

error

accounts,

ensuring

positions

were

covered

in

timely

manner

by

working

with

numerous

trade desks.

Identified

sensitive

market

orders

errors,

limiting

losses

in

client

account

as

well

as

branch

ledger.

● Executed client- directed internal and external movement of cash and securities, as well as monitoring and covering margin

calls,

safeguarding

trade

settlement

and

Regulation

T

requirements. Branch

Analyst,

Wayne,

NJ

2006

-

2007 Contacted

affluent

prospects

and

small

businesses.

● Generated

new

business

via

cold- calling

small

business,

conducting

client

retention

and

reinvestment

exercises,

drafting portfolio

hypotheticals,

and

presenting

to

potential

clients. EDUCATION

AND

LICENSE

Bachelor

of

Arts

(BA),

Business

Administration,

Fairleigh

Dickinson

University,

Teaneck,

NJ FINRA

SERIES

7

&

99

(NASD),

New

York,

NY SOFTWARE

SKILLS

Function- specific:

Bloomberg

Thompson

Reuter

FORCE

(RCSA) Protegent

Surveillance

(Trade

Surveillance)

Actimize

(AML) MS

Office:

Excel,

PowerPoint,

Visio,

Word



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