Human Resources Management

John J. Donohue

* ********* ***** */***: 781-***-****

Cohasset, MA 02025 e-mail: ****.*.*******@*******.***

SUMMARY

Financial Services Executive with over 25 years of experience

supporting Institutional and Retail Brokerage, Banks, Hedge Funds, Trust

Companies, Thrifts, Banks, RIA's, Specialists/Market Makers and diversified

financial services companies. He has been responsible for operations,

regulatory finance, sales, trading, technology and compliance. Expertise in

such areas as:

Securities and Commodities Operations Regulatory Financial and Compliance

Front, Middle and Back Office Reporting

New Business/Product Implementation SAS70/SASE16

FATCA/FCPA/FACTA Equity, Bond, and Derivatives Trading

Electronic /Algo Trading

Project/Product/Program Management Startup and Merger Operations

Prime Brokerage

Business Process Reengineering Operations Risk Management

Basel2, Mifid2, Solvency 2, Dodd Policies and Procedures/WSP

Frank, CCAR stress testing Call Centers/Online Service

Information Security/Privacy FINOP

Disaster Recovery/Contingency/BCP UK/EU Brokerage and Reg Finance

Anti Money Laundering (AML/KYC) RIA compliance

PROFESSIONAL EXPERIENCE

Executive Vice President

2013- Present

The GL Group, Waltham, MA

. Member of RIA Investment and Executive Committee managing 40 act fund

compliance, wealth management, compliance technology group functions

. Responsible for regulatory relations/interface with governmental

agencies and self regulatory organizations with the SEC, state

securities commissions audit, information security, corporate

/securities/commodities compliance and reporting

. Designed implemented and management the outsourcing of core information

technology infrastructure reducing CAPEX by over 90 per cent while

delivering scalable infrastructure on transactional and process levels

. Designed, implemented and managed the administration and delivery of

Compliance11 for two RIA's

. Designed, implemented and managed the migration to an integrated unified

communications reducing telecommunications expense by 80 per cent while

increasing capabilities and redundancies

. Implemented both open end and 40 act interval funds on Schwab, TD

Waterhouse and Interactive broker platforms

. Using Charles River s(thru Gemini)etup style and investment edits to

comply with prospectud and SAI constraint. Set updates to issue

identification to correct false positives. Edits focused derivative

position limits and credit limits

. Implemented new email domain with Global Relay backup retention with

SMARSH oversight on all electronic communications including social

media, Bloomberg, email

. Designed and implemented compliance program

. Set up advertising and marketing sharepoint facility for review,

approval, retention of approved materials and workflow on change

control.

. Designed SMA/UMA structures for implementation

Interim CFO, COO and CCO, GRC SME

2012-2013

. Interim CFO/CCO /COO/CEO for BD's and RIA's

. GRC BPO and KPO plan design

. CFO/CCO in NMA and CMA FINRA applications

. Business Analysis for Dodd Frank gap assessment and best practice

identification

. Market and product analysis for GRC product in a tech company

. Mock SEC/FINRA/CFTC audits

. GRC BPO/ KPO program/plan design and implementation for tech outsourcing

provider

Chief Compliance Officer and Senior Vice President

2005 - 2011

SunGard Brokerage and Clearing Solutions/Capital Markets

. Member of Executive Committee managing 400MM USD Software ASP and SaaS

GMI, Phase3, Wall Street Concepts, InTrader, GLTrade, Loanet etc

. Responsible for regulatory relations/interface with governmental

agencies and self regulatory organizations with the FFIEC and component

organizations (FRB, OCC, OTS, etc), SEC, CTFC as well as self

regulatory organizations i.e.,FINRA, CBOE, audit, information security,

corporate /securities/commodities compliance and reporting

. Led SunGard Financial Systems efforts to identify SWOT in new regulatory

developments including Basel2, Dodd Frank, Solvency2, MiFID 2,SEC

Rule15c3-5 . Recommended action, data and development strategy across

the range of bank, brokerage, investment bank, asset management and

insurance product and program management

. Chief Compliance Officer; Assent LLC, (NYSE, other principal exchanges)

SunGard Global Execution Services (NYSE), SunGard Asset Technologies

(RIA)

Chief Financial and Compliance Officer 2004 - 2005

LaBranche Structured Products, LLC

Responsible for the staffing, management and administration of a Broker

Dealer (Options/ETF Market Maker, Specialist and Upstairs Trading) with

responsibility for finance, human resources, compliance, operations and

facilities

Built and implemented COSO modeled internal controls for broker dealer

subsidiaries as Member of the Sarbanes Oxley Steering Committee

New Business Implementation- created LSPS a NYSE member and LSPE an LSE

member

Developed and managed compliance program

Built middle office for listed and OTC derivatives trading program

President, Chief Executive Officer and Chief Compliance Officer

2002 - 2005

Berkshire Asset Management, Inc., Boston, MA and New York

Responsible for the creation, staffing, management and administration of a

FINRA broker dealer.

. Sold firm to LaBranche and Co.

Chief Operating Officer, Chief Compliance Officer

1999 - 2002

PreferredTrade, Inc., San Francisco, Boston, New York, Chicago,

Philadelphia

General Principal managing 125mm USD business, reporting to the Board Of

Directors of a NYSE member firm, responsible for the staffing, management

and administration of a Broker Dealer and affiliated RIA with

responsibility for online retail brokerage, institutional trading, capital

markets, finance, IT, human resources, compliance, operations and

facilities. 12 Direct Reports responsible for 184 employees across 6

locations

General principal responsible for regulatory relations with SEC, CFTC,

NYSE, NASD, BSX, CBOE, PHLX, PSE, NFA and an affiliated RIA

Negotiated settlements with SEC, NYSE and FINRA on issues preceding tenure

Managed CFTC/NFA admittance

Chief Operations Officer and Senior Vice President

1998 - 1999

State Street Global Markets, LLC. Boston, MA

Responsible for the planning and successful implementation of a self-

clearing section 20 FINRA Broker Dealer. Reported to the President and

Board of Directors of SSGM.

Established profit and loss analysis /reporting, new accounts, position

reconciliation, regulatory compliance testing, system requirements analysis

and acceptance, new business implementation, policies procedures and

training.

Presented plans and findings to regulators, corporate management, board of

directors, selected customers and partner companies

Designed Supervisory structures and compliance including Federal Reserve

Act (FRA 23A and 23B, REG W) issues with holding company, operations and

trading policies/procedures. FRB and OCC compliance including CRA

requirements.

Vice President, Fixed Income, FOREX and IPO/Syndicate Operations 1995

-1998

Fidelity Investments, Boston, MA, Fidelity Capital Markets

Responsible for the staffing, review and administration of principal

trading middle office departments for Fixed Income, FOREX and IPO/Syndicate

operations. 4 direct reports responsible for 31 employees across 4

locations. Reported to the Senior Vice President of Operations and

Technology

Designed, managed and implemented the establishment of FSA registered

broker-dealer in the United Kingdom as a facility for institutional

customers to access foreign ordinaries and fixed interest

Designed, managed and implemented operations for Fidelity Defined Trusts,

a family of unit investment trusts

Managed RFP process for futures and options on futures clearing broker

Implemented 8 new products and moved from fixed income agency to principal

trading

Technology

SDLC Summit D, Accelus (Thomson), Charles River Development, SunGard

Phase3, Thomson Beta, ADP BITSI, Shadow, Wolters Klower, Attunity GRC,

SunGard InTrader, SunGard GMI, SunGard Credit Monitor, SunGard BRASS,

Registrations, Certifications, Memberships and Education

Series 7 General Securities Representative

Series 53 MSRB Principal

Series 14A NYSE Compliance Principal(Specialist)

Series 24 General Securities Principal

Series 27 Financial and Operations Principal

Series 9 FINRA Sales Supervisor

Series 10 NYSE Branch Manager

Series 14 NYSE Compliance Principal

FINRA Qualified Arbitrator (Panel and Chair)

Fordham University, Economics/Mathematics

Wharton School /UPenn(NASD /Wharton)

2002 Certified Regulatory Compliance Manager (FINRA CRCM)

Member, National Association of Compliance Professionals Media trained

Member, Global Association of Risk Professionals BPO/KPO

Series 99 Operations Professional

Pragmatic /Product Management training

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