Organizational, efficient, responsible will follow instructions
Resume:
Sean Thomas Madden
Financial Services Professional Operations
A passionate, driven, and focused financial services professional with nearly a decade of experience in high volume and cost reduction and process improvement business resolutions to improve company metrics and efficiency. Extensive first hand working product knowledge of marketable securities from processing back to selling front end. Extensive financial acumen accompanied with a in depth understanding of corporate operations both front and back end. Trusted hands on analysis and portfolio management of brokerage industry specific portfolio platforms such as OCC (Options Clearing Corp.), DTCC (Depository Trust Clearing Corp), and FICC (Fixed Income Clearing Corp). FINRA Series 6 License Holder and FINRA Securities Industry Essential Exam. Project Management and leadership training experience.
Work History
2022-10 –
Current
2021-04 – 07-2022
2017-04 – 2021 - 04
Annuities Representative
Tata Consultancy Services Plano, TX
-Utilized Salesforce and in house systems, such as IBM Mainframe and proprietary tools, to assist customers in policy inquiries and product information
-Passed FINRA SIE and FINRA Series 6 exam
-Worked with annuities group to present product information such as riders, subaccount performance information and exchange and rebalancing to clients in most presentable format.
Securities Market Analyst
Mphasis Digital Risk LLC Dallas, TX (Remote, WFH)
-Worked with client/JPWM(NDA) group on LIBOR remediation loan project in roll out of new SOFR benchmark rates.
-Worked with the client’s SBL front end banking and lending advisor’s(Securities Based Lending)
to execute and compose client related loan documents specific to the product type, market territory and most advantageous deal structure.
-Advised on Quality Control checks for submitting and processing documentation before meeting clients signature for loan implantation.
-Understanding Regulation H and Reg U, executed collateral analysis of client’s accounts and collateral held in house, along with Debt Held away to present various lending strategies based on Ultra High New Worth immediate needs and long term lending strategies aligning best growth for client retention.
-Performed and trained on collateralizing portfolio securities based on margin needs of stocks, mutual funds and currencies in portfolio.
-Worked with Development Team to improve metrics of mapping and quantitively improving in house margin pricing tools and loan document production platform
-Assisted in training client new hires domestically and internationally on day to day operations of SBL team as well as banking and lending operations, loan procedures, and market settlement protocols.
Day Trading Specialist
Self Employed, Coppell, TX
Create long and short positions calculated and measured in response to market and economic data analytics utilizing multiple trading software.
Review all daily economic indicators, including but not limited to currency fluctuations, rate changes, analyst rating changes, broker reports, pre market gap positions, option volatility and synthesize all applicable data for probability and profitability.
Ensure settlement of positions and trades and ensure cash settlement of balances via bank transfers.
2016-04 - 2017-03
02-2014 – 12-2014
Financial Counselor
Armor Wealth Management, Addison, TX
Using client book, collected personal and financial information in order to compose and recommend any financial advice or products needed in regard to client’s current financial situation.
Presented company and peer approved financial recommendations to clients, and advise on short- and long-term goals in regards to current financial status
Prudently educate and curate client relationship based off needs analysis with long vs short term rewards and returns to most immediate goals.
Pharmacy Benefits Relationship Manager – Consultant/Contract
CVS Health Group, Las Colinas, TX
Assessed client and existing PBM metrics for efficacy and improvement using PMP methods and analytics.
Strengthened client planned benefit need requirements through chain management flow and internal BRM metrics.
Translated client needs and future expectations to manage a successful long-term relationship to internal CVS Health teams such as Benefits Coding and Quality Analysis
2010-01 – 2013-12
Team Lead, Domestic Settlements
Penson Financial Services, Dallas, TX
Coached and worked with a team of 8 employees on a daily basis to ensure all settlement items were actioned promptly, trade discrepancies resolved in a “EOD” manner and all customer/broker inquiries were handled with prudent haste.
Trained all employees on each desk and provided back up and monitor/maintenance of all Settlement desks including: Treasury/FICC, DTCC, DTCC Free Receives and Deliveries, Trade DK's with P&S Resolution, NY Window, ACAT Transfers via DTCC, Foreign settlements, and Option Clearings via the OCC.
Prepare daily Stock Loan Report to minimize failed stock delivery percentage, resolve failed deliveries through loan request or failed delivery resolution.
Monitor and resolve issues with all fails tracked in Obligation Warehouse.
Implemented SLAs within departments for escalation and more efficient daily resolution.
Developing and implementing appropriate reports/metrics that enable management to monitor service, quality and productivity/efficiency. Preparing/issuing production and shift turnover reports to monitor productivity, backlogs, and service levels.
Identifying top performing associates and implementing plans to help them reach their full potential.
Education
2002-08 - 2007-12
Bachelor of Science: Economics
Southern Methodist University - Dallas, TX
Certifications/License
FINRA Securities Industry Essential – 2022
FINRA Series 6 – Active Broker 5173234.
CFP - Certificate in Financial Planning from Southern Methodist University
Contact
Address
Coppell, TX, 75019
Phone
****************@*******.***
Skills
Process Improvement
Critical thinking
Collaboration
Master Open Water Diver of PADI (Professional Association of Dive Instructors)
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