Executive Business Manager / COO Candidate

Brian McDonald

** **** ******, *******, ** ***** * Phone: 917-***-****

E-mail: *********@*****.*** _ LinkedIn: https://www.linkedin.com/in/brian-mcdonald-88574222/

OBJECTIVE: Business Manager/COO.

SUMMARY of QUALIFICATIONS

Traits and Strengths:

Outgoing, courteous, supportive, and professional demeanor; innovative “can do” problem solving skills.

Proven success developing trust and maintaining positive relationships with a diverse clientele.

Considerable experience assessing risk and an ability to prioritize relevant information.

Established reputation for conducting business with the highest ethical standards and respect for client interests.

Business:

Supervised regulatory surveillance (Reg SHO, Reg NMS, Volker Market Access Rule).

Expertise in institutional sales, execution and supervision of trading desks.

Proven track record of identifying, solving and preventing compliance issues.

Maintained and updated the firms written supervisory procedures.

Communication and People skills:

Attentive and responsive listening skills articulate with good vocabulary and grammar.

Work well independently or with a team-based business attitude.

Facilitate the interaction between the Front Office and its Business Units.

Recognized for proactive troubleshooting & constructive conflict resolution skills.

WORK EXPERIENCE:

First Liberties Financial– Manhattan, NY 2016 – 2021 Managing Director

oSecuring new business, managing key relationships, while developing strategies for the clients on trading, hedging risks and opportunities in the market.

oRegulatory Compliance specialist for all firm products and Supervisor on all reinsurance transactions.

Societe Generale-Newedge– Manhattan, NY 2011 – 2015 COO and Director

oTasked with managing teams for Equities, ETF, Option, DMA and Corporate Credit Sales trading desks.

oDirected regulatory surveillance (Reg SHO, Reg NMS, Volker Market Access Rule) for all trading groups.

Liquid Capital Securities – Manhattan, NY 2010 – 2011 Head of US Equities

oBrought in to manage development of Liquid Capital’s institutional units from inception for the Equity and Derivatives trading desk in New York.

oDeveloped and implemented procedures to address external regulations and internal compliance policies.

Clifden Group – St Johns, USVI 2000 – 2016 CEO, CCO

oEstablished the broker-dealer for both on-shore and off-shore business for institutions and ultra-high net-worth individuals.

oCreated an effective monitoring program to assess transaction compliance with all FINRA regulations and firm policies.

Pali Capital, Inc – Manhattan, NY 1996 – 2010 Managing Director/Founder

oFounded firm in 1996, creating the Equity Trading Desk, Operations, Compliance, and Risk Management departments.

oSupervised the due diligence, risk assessment, surveillance, and litigation for in-house and outside counsel.

oHead of trading for equities, fixed income and the derivatives desks.

EDUCATION and TRAINING:

Dundalk Institute of Technology–Dundalk, Ireland Bachelor’s Degree in Engineering

CERTIFICATIONS: FINRA – Series 3,4,7,24,55,63 and 65.

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