Brad Kessler Email & Phone Number

New York City Metropolitan Area

- Participate in examinations of low, medium-low, and medium-high risk and complexity- Conducts and memorializes discovery and risk reviews of low to medium-high risk and complexity- Gathers regulatory intelligence using internal FINRA systems- Analyzes and evaluates firm records and systems- Identifies exceptions, observations, and other findings

Brooklyn, Ny

Assists in managing the control framework for Personal Information (PI) and Client Confidential Information (CCI), as processed across JPM, including Business Technology and Operations.► Incident Management & Reporting► Inventory Management of Data Privacy requirements► Assists with the implementation of CORE for Data Privacy related risk/controls within CIB► Assists with the governance over Data Privacy within CIB, including supporting the strategy and execution of Privacy Regulation and Privacy Policies► Assists in monitoring adherence to regulatory change► Reporting: Assists with the production of various reporting to monitor and manage Data Privacy► Data Loss Prevention (DLP) - Works with Operations, Business, Control teams and Technology to identify new opportunities to reduce ‘operational’ data loss through the introduction of new tools and technologies.

Brooklyn, New York

► Acted as trusted Operations control advisor and as a first line of defense with Operations on the control agenda.► Represented Operations interests vis-a-vis control/regulatory initiatives.► Executed and implemented Operations control priorities and strategy.► Led Operations supervisory management and execution.► Managed control and risk governance implementation and reporting.► Drove risk mitigation and control remediation programs across the business.

Brooklyn, New York

►Daily interaction with Custody Clients to assist in the comprehensive execution and implementation of new business wins, exiting funds and fund restructures.►Oversight and controls for Conversion Associate planning and preparation in anticipation of Transition events. ►Responsibilities included agreement to transition strategy, performing in-depth portfolio analysis, account structure and static data checks including identification of potentially problematic assets and positions in liquidation, delivery of accurate Standard Settlement Instructions (“SSIs”) to execute all necessary stock movements within incepting, closing and/or existing accounts, including monitoring market trading to ensure timely settlement of trades. ►Additional tasks included coordination with Network and Custody Implementation divisions on all necessary requirements.►Adhered to controls and procedures, attested to team SOPs, ensuring all key risk and quality indicators were met.►Resolution, cash and stock break management.►Dealt directly with customers to ensure continuous high level service was achieved.►Attended conference calls & meetings to ensure plans are developed and actions completed on target. ►Ensured team controls were adhered to, involvement in Business resiliency planning, Audit & Risk reviews and client/counterparty site visits.

Brooklyn, New York

►Monitored group mailbox to ensure deliverables were met in a compliant and timely manner.►Replied to general inquiries from Client Associates and Financial Advisors as to the status of newly opened Managed Accounts or information required of clients.

New York, Ny

Recognized with increasing levels of authority via promotion for this global financial services firm engaged in market making, high-frequency trading, electronic execution, and institutional sales and trading. ►Advised traders in connection with interactions with listed companies and supervised relationships to ensure client engagement and satisfaction. ►Represented KCG as part of 3-person team in IPO Designated Market Maker (DMM) interview selection process for companies pursuing listing on New York Stock Exchange (NYSE).

New York, Ny

Engaged news services, including Bloomberg, StreetAccount, and Briefing to collect, analyze, and disseminate real-time market news and securities information to traders across global markets. Maintained active involvement with companies under coverage.►Analyzed discrepancies in extreme stock events and presented traders with calendar of stock specific events expected to occur, which gave traders opportunity to make fair market and profitable return resulting from movement.►Updated and maintained daily economic calendar comprised of North American, European, and Asian economic releases, as well as US Federal Reserve, European Central Bank, and International Monetary Fund monetary policy speeches.

New York, Ny

Maintained fair and orderly market of 125+ NYSE-listed equities with notable companies that included Dow Jones Industrial Average-component McDonald's Corporation, Deutsche Bank, Credit Suisse, ING, and Royal Bank of Scotland. Other companies included closed-end funds with concentrations in oil & gas / MLP funds and preferred issues / structured products. ►Recognized for generating revenue from NYSE resulting from providing liquidity to market, which delivered 60% of available revenue vs. average of 35% from other market makers.►Contributed to IPO-interview process with executive corporate representatives for newly-listing companies, including Goldman Sachs MLP & Energy Renaissance Fund (GER), Goldman Sachs MLP Income Opportunity Fund (GMZ), Nuveen All Cap Energy MLP Opportunities Fund (JMLP) and First Trust New Opportunities MLP & Energy Fund (FPL).

New York, Ny

Maintained fair and orderly market for firm’s 500+ NYSE-listed equities, including 9 components of Dow Jones Industrial Average, and over 75 components of S&P 500. ►Created communication vehicles to track pertinent names under coverage, tool that became a valuable best practice for other colleagues. ►Liaised between Banc of America Specialist DMMs, algorithmic development team, and graphic user interface (Front End Display) team to facilitate DMM interaction with NYSE display book.

New York, Ny

Reported executed stock trades to NYSE consolidated tape and entered stock quotes to properly reflect bids and offers prior to advent of NYSE hybrid market model. Acted as catalyst in listed securities, pursuing recently active investors in cases where bids and offers could not be matched, in effort to induce trades.

New York, Ny

Relieved trading assistants, which included performing duties for any extended leave. Entered customers’ limit orders in NYSE display book on behalf of floor brokers, assisting specialist in acting as brokers’ agent.

Bachelor’S Degree, Economics

Education record