Sales Manager

JOHN K. FAWLS, CPA

*** ****** ***** *********, ** 11803 516-***-**** *********@*****.***

EXPERIENCED CFO & COO; FINANCIAL SERVICES & CONSULTING LEADER I am a financial industry professional, with a focus on business management and financial, analytical, operational and product control skills. I have created and implemented multi-discipline global development efforts, analytic tools of both a strategic and a tactical nature, managed project development efforts, managed operating expenses both in times of expansion and times of contraction and implemented new and challenging industry-wide legislative guidelines.

• Complex Financial Analysis • Strategic Planning • Controller

• Prime Brokerage

• Hedge Fund Accounting &

Reporting

• Product Control

• Cash Management

• Budgeting / Forecasting

• Performance Based Analysis

• CCAR/RWA/Dodd-Frank

• Compliance/Risk Mgmt

• Identify & Repair Audit

Weaknesses

• Financial Planning & Analysis

• Transfer Pricing

• Expense Analytics / Cost

Allocation

• Revenue Sharing

• Project Management

• SEC / Regulatory Reporting

• Extensive International

Experience

EXECUTIVE HISTORY

CLARITY SGI 5 years

Consultant

• Clarity is a professional services firm, providing Financial, Operational and IT services on a contract basis to the Financial Service industry. The firm is comprised of professionals with a minimum of twenty years’ of industry experience in both operational and managerial positions.

• Consulting to the Financial Services industry on the implementation of regulatory issues such as recent changes to the Net Capital Rule, Basel III, Dodd-Frank, the Volcker Rule and other developing issues; also working with industry user groups that have led to the development of feedback for the regulators and government officials on implementing the new legislative concerns and created a collaborative, rather than confrontational, work environment in the process.

CLEARGATE CAPITAL, LLC 2 years

Chief Financial Officer / COO

• Cleargate is a long/short equity hedge fund focused on distressed European markets. As COO, my responsibilities spanned selected trading and hedging activities, in addition to all Financial, Operational and Administrative duties.

• Manage the Risk Management of the fund portfolios versus stated position limits, reconciling portfolio positions with the Fund Administrator and Prime Brokers, reviewing the pricing assigned to positions within the portfolios, ordering trades of Foreign Exchange contracts and maintaining the books and records of the Management Company.

• Maintaining relationships with the fund’s investors and creating all investor communications, completing investor subscriptions and redemptions, authoring twice-monthly Fund Performance letters and maintaining all respective distribution information.

• In addition to fund performance and investor communication responsibilities, I selected and maintained relationships with the Fund’s Independent Auditors, Tax providers, Executing Brokers, Prime Brokers and Legal Counsel.

BTIG, LLC 5 years

Managing Director, International Chief Operating Officer

• This is a broker/dealer which provided a single asset class of products to institutional clients in a single geographic area. I was tasked with expanding the business model of the firm globally and increasing the firm’s product offering across an increasing number of asset classes.

• During my tenure with this firm, I created regulated institutional securities trading and sales operations in four foreign countries.

• I also managed all financial, operational and administrative operations from both a strategic and tactical perspective. This was especially complicated given the firm’s compensation structure and personnel employment contracts.

Key Achievements:

• Organized four regulated entities and established institutional trading businesses in Europe, Asia and Australia

• Hired qualified Trading, Sales and Middle Office professionals to lead the regional operations

• Managed the day-to-day business affairs of the operations – Legal, Audit, IT, HR, Accounting, Compliance, Risk Management, Sales Management

• Increased revenues more than 50% from first full year of operations

• Member of the firm’s Management Team

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC. 23 years Director – Business Manager of Latin American and Canadian Institutional businesses Director - Business Manager of Institutional Equity Trading & Sales Director - Business Manager of the Prime Brokerage Division Director - Controller of the Equity and Fixed Income Divisions VP - Research Analyst

• Business Manager for all of the support disciplines for the US Equity Division totaling 1,500 staff and annual revenues in excess of $2 billion; held senior management positions within the US Equity Division, Prime Brokerage Division and Non-dollar Equity Division. Managed Middle Office disciplines; developed and implemented strategic plans.

• Financial Controller of Fixed Income and Equity trading products across different asset classes. Very familiar with developing financial analytic tools and reports, budgets and developing strategic plans. Adept at security pricing, identifying operational weaknesses, implementing audit recommendations and managing regulated functions.

• Streamlined the integration of firm support services to hedge funds, enabling a reduction of sales support staff and generating added profitability.

• Implemented key regulatory changes to the equity trading and sales functions (i.e., Patriot Act, decimalization, independent research products, others).

• Built a physical trading and sales presence in Sao Paulo, Buenos Aires and Mexico City. Also developed strong working relationships, with local regulators and exchange officials in location in order to successfully operate regional trading and sales offices.

• Performed due diligence on several off-shore acquisition candidates with annual sales in excess of $250 million; two of which were consummated (one Canadian; one British). Key Achievements:

• Organized regulated entities and established institutional trading businesses in three Latin American nations.

• Managed the business functions of the Equity Division, including HR, Accounting, Compliance, Legal, Audit, IT, Regulatory, etc.

• Managed more than a dozen development projects; some Technology-related and some related to other business disciplines. Examples of these include: creating an automated Balance Sheet closing system for all asset classes at Merrill Lynch; coordinating all external vendors and advisors with all internal businesses to open an off-shore trading and sales operation (which I have done seven different times); implementing new regulations into the trading floor (e.g., Patriot Act, Sarbanes Oxley, decimalization); and developing reports for Executive Management relating to diverse business operations (e.g., product profitability, critical success factors, identifying significant vertically-integrated institutional client relationships).

• Consolidated multiple internal businesses which provided clients with similar services into a single department in order to improve efficiency and reduce costs.

• A member of Institutional New Product Review Committee. This Committee reviewed and approved all development efforts of the Institutional Fixed Income, Equity and Investment Banking Divisions to ensure the availability of investment resources relative to profitability estimates, compliance with internal and regulatory guidelines and resource availability.

DELOITTE & TOUCHE 5 years

Senior Accountant

• Gained extensive and valuable SEC and NYSE reporting experience in this role; worked with Forms 10-K, S-1, Annual Reports, MD&A, Comfort Letters, Proxy Statements, FOCUS Reports, etc.

• Clients included Merrill Lynch, CS First Boston and Cornell University Education

• B.S. in Accounting from Manhattan College

• Magna cum Laude Honors

Professional Certificates and Licenses

• Certified Public Accountant

• Member, AICPA

• FINRA Series 7, Series 24, Series 27 and Series 65 (all need to be reactivated)

• New York State Insurance Agent – Accident, Health and Life Philanthropic and Social Activities

• Chaminade High School – Past-President and current Alumni Board Member, Former Chairman of the school’s Endowment Fund

• Wheatley Hills Golf Club – recognized by my peers as a Governor and the Club’s Chief Financial Officer

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