Manager Office
Resume:
ODAIN
C.
FERGUSON
Wood
Ridge,
NJ
*********@*****.***
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
*********@*****.***
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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