Regulatory Reporting Financial Services

Arthur A. Carr

Zion, IL ***** 773-***-****+ ***-****@***.*** www.linkedin.com/in/art-carr-10874a9/ Financial Regulatory Reporting Director

Experienced Financial Services Regulatory Leader with expertise in all aspects of securities and CFTC reporting. Developed and maintained strong relationships with regulatory bodies. Managed a high-performing team that produced accurate preparation/filing of daily and monthly regulatory reports. Knowledgeable of changes and intricacies of financial regulations.

Key Skills

Project Management Capital Markets Equities CFTC Financial Reporting Broker Dealer Financial Reporting

Options Prime Brokerage Financial Services Regulations FINRA Professional Experience

SG Americas Securities LLC Sept. 2016 - 2024

Director – Regulatory Reporting

Oversee the preparation and filing of CFTC daily, bi-monthly, and monthly reporting. Selecting and supervising departmental personnel.

• Conduct following reporting: Daily Seg, Secured, and CSC reporting; bi-monthly SIDR; annual FBAR as it relates to CFTC assets; net capital charges related to CFTC business.

• Oversee the preparation and filing of weekly FINRA PM reporting.

• SME for both CFTC and Securities reporting.

• Coordinate annual CME examinations.

• Developing and maintaining strong relationships with regulatory bodies including the CME, NFA, and CFTC.

• Work with ITEC to develop and maintain automated reporting.

• Interface with personnel throughout the firm to ensure accurate reporting.

• Review of monthly firm inventory and other haircuts and charges. Newedge USA, LLC (Merged into SG Americas Securities LLC) July 2005 – Sept 2016 Director – Regulatory Change Management

Represent Finance as it related to SEC and CFTC rules changes.

• Mentor and train managers responsible for financial regulatory reporting.

• Review and approve written procedures.

• SME for both CFTC and Securities reporting.

Additional Experience

Fimat USA, LLC (Merged into Newedge USA, LLC)

Vice President –Regulatory Reporting

Development of reserve stock record allocations.

• Improve reporting for weekly and monthly 15c3-3 calculations.

• Improve daily Seg and Secured reporting.

• Create FINRA PM reporting.

Arthur A. Carr ***-****@***.*** Page 2

• Create daily CSC reporting.

• Improve monthly R1 reporting, 15c3-1 reporting.

• SME for CFTC, FINRA and SEC rules.

• Interact with examination and audit staff.

• Selecting and supervising departmental personnel.

• Involved in accounting and back-office system conversions. Man Financial Inc., Chicago, Illinois

Manager of Regulatory Accounting

Rodman & Renshaw, Chicago, Illinois

Manager of Regulatory Reporting

Mesirow Financial, Incorporated, Chicago, Illinois Manager of Cash Management

Education and Licenses

Liberal Arts Studies

Loyola University of Chicago, Chicago, Illinois

• Continuing course work in cash management, personnel management, and regulatory reporting.

• FIA Operations Division, FIA Law & Compliance Division, SIFMA Accounting Committee, SIFMA Capital Committee.

Series 27 License

Technology Skills

• Developing microcomputer workstations to automate treasury functions, including balance reporting, Fed wire transmissions, Automated Clearing House transactions, check reconciling.

• MS Office Sun G/L GMI Shadow P3 Beta Murex Coda G/L Oracle PSGL

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