Sean McLaughlin

*** ******* ***, *** * - Jersey City, NJ 07307

917-***-****

aczevk@r.postjobfree.com

OBJECTIVE: To obtain a trading risk/control solutions position, leveraging extensive knowledge and experience within the financial industry.

PROFESSIONAL SUMMARY:

Professional Risk-Control Analyst with more than 6 years of experience, which includes working within the banking and financial industry for more than 19 years with companies such as TD Ameritrade, the Vanguard Group, Standard Charter Bank, 1861 Capital Management, American Stock Exchange and Standard and Poor’s.

Responsible for conception, creation, and implementation of all risk controls, particularly operational risk, internal testing, audit reporting and reporting functions for Fixed Income Trading Desk

Managed the construction, execution and disseminating all fixed income P&L reporting, including risk/control, trade, and volume reporting to all internal clients

Expert with using MS Excel (MS Certified) to create reports using pivot tables, macros and v-lookups

Proficient Middle Office and settlement, investigating and insuring of trading activity as well as Bloomberg, SQL, and various other trading systems

Experienced with researching and analyzing and auditing compliance data for NASD member clients in accordance with industry rules, regulations and law

Series 7 licensed

Local Candidate; Available Immediately

PROFESSIONAL EXPERIENCE:

June 2016 – Present

G.F. McLaughlin, LLC, Wilmington, DE

General Contractor

Residential and commercial custom builders, renovation, remodeling, repair.

December 2015 – April 2016

Standard Charter Bank, New York, NY

Credit/Risk Analyst (Contract)

Part of Client Onboarding team, dealt with AML, KYC & CDD processes

Investigated and insured Dodd-Frank compliance of trading partners & activities

Conducted review & releases of loans, letters of credit, and other guarantees for payments

May 2010 – July 2015

TD Ameritrade, Jersey City, NJ

Sr. Analyst FI Risk/Control Reporting

Responsible for conception, creation and implementation of all risk-controls, internal testing, audit and reporting functions for the Fixed Income desk, under the department’s Director –

Supported 18 traders and three directors, trading corporate bonds (both foreign & domestic), preferred stock, municipal, CMOs, GSEs, CDs, UITs, and treasuries, including new issue products

Integrated multiple software and products, creating the mechanisms to report reliable, auditable P&L for the Desk’s activity

Created the mechanisms for report reliable aggregate commissions and an auditable comparison to P&L, compatible to the company’s Finance Department’s P&L and Sales’ commission reports

Built an audit strategy for daily, monthly and quarterly reviews review of trading activities in and evolving regulatory environment

Writing policies, procedures, practices and reporting/escalation for all developed or revised processes.

Managed the construction, execution, and disseminating all fixed income reporting, including risk/control, trade, and volume reporting to all internal clients

Part of a team which reconfigured the Desk’s trading process to execute through Bloomberg

Part of a team which improved the desk’s credibility to be cleared by our Risk Officers to take overnight positions, including new issue positions

Responsible for entire Treasury Auction procedure

Trade processing and trade management, matching traders and prime brokers to ensure timely trade execution, as well as timely trade and cash settlement

Shared responsibility for trade capture, booking, settlements, trade breaks, sales credit, and the resolution of all trade problems

During times of high volume, assisted the corporate desk by confirming suitability & executing trades

Writing & executing SQL queries

Series 7

May 2009 – August 2009

Bay Harbour Management, New York, NY

Analyst (Contract)

Contributed to the audit coverage strategy for a distressed securities hedge fund

Managed the integration of data, from multiple software, to reconstitute all trading activity in three funds, from the previous 12 years

March 2008 – December 2008

1861 Capital Management, New York, NY

Fixed Income Trading Support (Contract)

Directly supported trading desks for processes and reconciliation of fixed-income settlements

Liaised between custodian, broker and the trading desk

Researched and resolved cash, asset and trade discrepancies

December 2006 – December 2007

Blue Alternative Asset Management, New York, NY

Senior Fund Analyst

Performed all accounting, settlement functions of a $700M fund, executing monthly transactions

Performed pricing and closing processes for six Euro and US based funds, including a Euro hedge

Priced each fund’s portfolio and calculated NAVs, reconciled funds’ positions/securities and all investor accounts

Prepared monthly financials for each fund through SunGard's InvesTier accounting software

Created all internal fund evaluation as well as marketing reports via PerTrac’s analytic platform

2004 - 2006

Eagle Rock Capital Management, Moody’s Investor Services, New York, NY

Analyst/Trading Desk Support (Contract)

Performed daily market reporting of firm’s investment activities, including reconciliation and investigation of position anomalies

Maintained P&L and trader's positions through Excel and Traders Console (trading software)

Researched and analyzed compliance data for NASD Member clients in accordance with industry rules, regulations and law

Researched and analyzed municipal bond documentation, detailing the most pertinent data regarding liquidity support

Interacted with municipal finance managers and insuring banks to build Access and Excel databases, managing bond deal detail

2001

Standard & Poor’s, New York, NY

Domestic Stock Index Manager (Contract)

Managed S&P SmallCap 600 index

Researched, identified, and recommended companies to fellow Index Committee Members for inclusion in indices

Interpreted and communicated all domestic stock index related activity to fund managers through S&P’s subscriber website

Wrote press releases, detailing domestic stock index additions, deletions and any other pertinent information

2000

American Stock Exchange, New York, NY

Trading Analyst (Contract)

Interacted with the trading floor, other SROs and the SEC, as well as member firms, investigating trading activity for evidence of violations of exchange rules and/or federal securities laws.

Planned and conducted interviews and depositions of members, brokers and member firms

Submitted detailed reports to the SEC when conclusion warranted further investigation

Conducted ‘Exception Reports’ to reveal trading anomalies in AmEx listed equities, options, and derivatives

Additional Employment Available Upon Request

EDUCATION & CERTIFICATIONS:

Bachelors of Science and International Finance with a Spanish Minor, Marywood University, Scranton, PA

Courses Taken Towards Masters in Economics, University of Delaware, Newark, DE

Operations Trading and Compliance Certifications: New York Institute of Finance, New York, NY

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