THOMAS GUINAN

*** *. *** **., ***********, NY ***57 adi8zh@r.postjobfree.com

646-***-**** linkedin.com/in/thomas-guinan

PROFESSIONAL SUMMARY

Compliance principal with an array of surveillance and analysis experience in the securities industry. Knowledge of fixed income and equity markets and trade life cycle, using a diverse range of systems. Detail oriented with strong organizational and analytical skills. Recognized for prioritization and resolving complex issues. Ability to produce independently as well as on a team.

CERTIFICATIONS AND SKILLS

Certified in FINRA Series 24, 7, 63, 55 and 79

Proficient in such systems as Bloomberg TOMS, Pershing NetX360, FINRA and MSRB gateways, Fidessa, Market Axess, RBC Gateway, Thomson One, Microsoft Office products, and various trading and supervision platforms PROFESSIONAL EXPERIENCE

AEGIS CAPITAL LLC, New York, NY August 2020 – Present Principal Supervisor

• Daily supervision using internal system to monitor registered representative activity to ensure compliance with trading and account policies; reviews include commission, holdings, large trades, and other potential risk

• Conduct regular reviews for new accounts, background checks, fund movement, trade corrections and any ad hoc reviews from compliance; Responsible for research and data compilation for FINRA and legal audits

• Other supervision tasks include overseeing the investment banking group decisions and deals, handling ad hoc requests from representatives and clients, assisting compliance with AML, Continuing Education and other questionnaires and requests, and regular email and communication review MAXIM GROUP LLC, New York, NY March 2016 - January 2020 Compliance Specialist

• Conducted various compliance trade surveillance procedures to provide real time advice as well as to analyze trading activity and chronicle evidence of review in accordance to FINRA and SEC rules

• Routinely reviewed procedures in light of regulatory changes for adequacy of compliance controls; Performed gap analysis to draft and implement new procedures when appropriate

• Compiled and reviewed daily and monthly transactions for reporting accuracy and unauthorized activity in accordance with regulatory rules; promptly resolved exceptions and investigated potentially violative activity

• Took lead role to provide formal and thorough responses to regulatory inquiries and information requests, including FINRA, SEC and NYSE. Collected, organized and analyzed appropriate data for regulatory audits

• Dealt directly with traders and supervisors as well as regulators for research and resolution on any escalation matters derived from procedural review, internal audit or regulatory inquiries

• Maintained and updated restricted security list for trading department; reviewed activity for potential violations

• Reviewed employee communications for potential fraudulent, suspicious or conflicting behavior

• Provided compliance training to employees, including continuing education, AML red flags and firm policy

• Member of Best Execution Committees designed to review, update and develop compliance procedures to ensure that policies continue to meet changing regulatory standards

• Assisted in testing rules engines for new relationships and trading limits related to FINRA rule 15c3-5 AMHERST PIERPONT SECURITIES LLC, New York, NY December 2010 - September 2015 Operations Specialist

• Responsibilities included account balancing, trade matching and settling, managing corporate actions and arbitrage transactions; Improved regulatory report card with FINRA through monitoring and training

• Collaborated with compliance to ensure adherence to regulatory reporting rules and books and records standards REDI HOLDINGS LLC, New York, NY July 2009 - April 2010 Operations Manager

• Main duties included entering, monitoring, reporting, settling, documenting and confirming of all trades PERSHING, LLC, Jersey City, NJ May 2000 - January 2009

• Monitored transactions for potentially fraudulent trading activity (SARS), timely reports and best execution EDUCATION BA, Management, Manhattanville College, Purchase, NY, Graduated Magna Cum Laude

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