Risk Control

SEAN McLAUGHLIN

***/***-**** ****.****@*****.*** Linkedin.com/in Jersey City, NJ

Risk & Controls Executive Trading Desk Oversight Regulatory Compliance & Reporting Expert

SUMMARY

Strategic Risk & Controls Executive with deep experience across banking, trading, and regulatory environments. Proven leader in building high-integrity operational frameworks and compliance systems that stand up to audit, drive efficiency, and restore confidence in front-office operations.

Architected and led all risk control and regulatory reporting for a Fixed Income Trading Desk, ensuring full compliance with Dodd-Frank, Basel, CECL, and ALLL standards. Equally effective in high-level advisory roles and hands-on problem-solving, with expertise in trade lifecycle management, control testing, reconciliation, and reporting.

Series 7 and 63 licensed (currently expired).

Currently advising multiple businesses on finance, compliance, and operational controls while bringing extensive institutional trading and regulatory expertise to new enterprise opportunities.

CAREER HIGHLIGHTS

Architected operational risk and reporting framework supporting an 18-person Fixed Income Trading Desk

Designed audit-ready control environment supporting Dodd-Frank and Basel compliance

Led CECL implementation initiative

More than 20 years supporting institutional trading, regulatory reporting and operational controls

CORE COMPETENCIES

•Operational Risk

•Regulatory Reporting

•Trade Lifecycle

•Fixed Income Operations

•Trading Controls

•Internal Controls

•Operational Excellence

•Risk & Control Self Assessments (RCSA)

•AML/KYC

•SQL

•Bloomberg

•Advanced Excel

•QuickBooks

•CECL

•ALLL

•Basel

•Dodd-Frank

•Advanced Excel

BOOKS ADVISORY, LLC — Jersey City, NJ

Owner / President Dec 2019 – Present

Manage multiple companies’ finances, compliance, and risk using QuickBooks and advanced Excel.

Oversee A/P, A/R, payroll, and reconciliation of multiple bank accounts and charts of accounts.

Ensure compliance with local, state, and federal reporting requirements, including tax filings.

Conduct risk/control assessments and prepare monthly, quarterly, and annual reporting.

Provide audit support and design processes to improve accuracy and reduce compliance risk.

CITIBANK — Long Island City, NY

Regulatory Reporting Apr 2022 – Jul 2022

Investigated and resolved issues raised by regulators and internal teams regarding Y-14 schedule reporting.

Built and maintained expertise in product reporting and analytics to ensure accuracy and compliance.

Mapped systems and process flows to identify root causes of reporting discrepancies and recommend corrective actions.

CITY NATIONAL BANK — Newark, NJ

Sr. Risk Analyst Dec 2017 – Jul 2019

Led the bank’s Allowance for Loan and Lease Losses (ALLL) process and was the primary driver of Current Expected Credit Loss (CECL) implementation.

Conducted Risk and Control Self-Assessments (RCSA) to evaluate operational risk exposure.

Prepared, reviewed, and delivered operational risk reports for internal stakeholders, auditors, and regulators, leveraging Fiserv and Sageworks.

Researched and designed detailed climate risk stress test scenarios for high-leverage borrowers.

BROWN BROTHERS HARRIMAN & CO. — Jersey City, NJ

Project Management (Contract) Jun 2017 – Dec 2017

Contributed to a settlements project improving the timeliness and accuracy of open trade “allegement” communication across all security types in real time.

Reviewed and processed trade orders exceeding trading tolerance limits, ensuring compliance with internal controls.

Enhanced internal and regulatory reporting of trading metrics to improve operational transparency.

Evaluated and refined procedures to mitigate settlement risk and strengthen process efficiency.

STANDARD CHARTERED BANK — New York, NY

Credit/Risk Analyst (Contract) Dec 2015 – Apr 2016

Researched and executed AML, KYC, and Customer Due Diligence (CDD) processes for client onboarding.

Implemented and reported on compliance with Basel and Dodd-Frank regulatory standards.

Reviewed and released loans, letters of credit, and other guarantees for payment authorization.

TD AMERITRADE — Jersey City, NJ

Sr. Analyst, Fixed Income Risk & Control Reporting May 2010 – Jul 2015

Led the design and implementation of audit-ready compliance, strategic, and operational risk controls for the Fixed Income Trading Desk, serving 18 traders and 3 directors.

Built integrated reporting systems using Excel (macros), SQL, and Bloomberg to track P&L, commissions, and trading activity across corporate bonds, municipals, GSEs, CMOs, and new issues.

Developed real-time monitoring and escalation frameworks aligned with Dodd-Frank and Basel requirements, enabling overnight position clearance by Risk.

Managed all Treasury Auction procedures via TAAPS and oversaw settlement lifecycle—including trade capture, break resolution, and sales credit reconciliation.

Authored policies and procedures to support regulatory transparency, mitigate counterparty risk, and streamline fixed income desk operations.

CONSULTING ROLES — New York, NY

Bay Harbour Management & 1861 Capital Management 2008 – 2009

Bay Harbour Management (2009): Supported audit coverage strategy for a distressed securities hedge fund. Integrated data from multiple systems to reconstitute 12 years of trading activity across three funds.

1861 Capital Management (2008): Provided fixed income trading support, reconciling settlements and mitigating liquidity and counterparty risk. Resolved cash, asset, and trade discrepancies to reduce operational exposure.

Additional Experience

Blue Alternative Asset Management — New York, NY

Senior Fund Analyst 2006 – 2007

Managed accounting, settlements, and portfolio pricing for $700M in assets across multiple funds.

Performed monthly NAV calculations, reconciled positions, and executed FX hedging strategies.

EDUCATION & CERTIFICATIONS

Bachelor of Science, International Finance (Spanish Minor) — Marywood University, Scranton, PA

Courses toward Master’s in Economics — University of Delaware, Newark, DE

Operations, Trading, and Compliance Certifications — New York Institute of Finance, NY

Series 7 & 63 licensed

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