Brian Mcdonagh Email & Phone Number

• Oversee all compliance, financial management, operations and board engagement for an investment banking and chaperoning broker dealer of parent company Clarkson’s Shipping PLC.
• Implement controls and policies and procedures to protect the Firm from reputational and financial harm that could result from non-compliance with SEC rule 15a-6
• Provide compliance leadership on equity sales/trading, equity/fixed income research and underwriting on new issue securities
• Manage the work efforts and performance of a team of Traders, Sales Associates, Capital Markets Managers in the US as well as people embedded in the financial operations function in Oslo
• Partner with internal stakeholders to onboard US Institutional Investors and ensure compliance with record keeping and reporting requirements in line with chaperoned broker/dealer rules
• Facilitate compliance with global firm policies and SEC regulations relating to information barriers, including wall crossings, and maintaining a watch and restricted list

Providence, Rhode Island, US

• Led the planning, strategy and execution related to the formation of “CCMI”, including submission of FINRA’s new membership application to be approved as a registered broker-dealer.
• Developed and executed compliance/supervisory programs for CCMI’s IB activities, including equity and debt underwritings, M&A advisory services, private placements and corporate bond sales and trading
• Served as a key IB Committee Member that reviews all equity or debt underwritings and M&A mandates; assessed large scale transactions and deal structure to provide executive sign off
• Engaged with risk management leaders to build out operational controls and assess the viability of new products that have helped grow fee-based revenues of the business
• Partnered with the C-Suite to define the organizational structure, assign ownership of business functions and execute firmwide training programs
• Oversaw the firms Anti Money Laundering (AML) and Know Your Customer (KYC) programs

Providence, Rhode Island, US

• Directed the development and execution of compliance, operations and risk management programs with a focus on minimizing compliance risks across all commercial banking activities.
• Identified regulatory changes and emerging market trends to advise commercial banking business lines on operating within regulatory and firm wide compliance parameters
• Devised strategies to test and refine processes and controls that enable the commercial banking business to grow revenue and enhance client relationships
• Implemented protocols to maintain adherence to Volker related activities and control room obligations

Worldwide, OO

• Directed DCF’s compliance program for its investment banking advisory business, including all M&A advisory services, private placements, equity and debt capital raises, and fairness opinions.
• Interfaced with investment banking advisory teams to provide insights into KYC, AML, Customer Identification, insider trading and restricted lists for new business engagements
• Key member of the Investment Committee that assessed the due diligence efforts on potential transactions prior to client engagement
• Partnered with Deloitte foreign member firms and provided guidance on cross-border transactions

• Directed the firm’s compliance program pertaining to its sales and trading business (equity and fixed-income), research business, capital markets and investment banking.
• Managed a team of compliance professionals that monitored the firm’s information barrier policies between its investment banking, research and sales & trading activities
• Responded to all regulatory inquiries and served as compliance contact on all regulatory examinations

• Managed all components of Regulatory Affairs including responses to regulatory inquiries and acting as the main compliance contact during regulatory examinations.
• Advised business units/senior management of compliance matters pertaining to new business proposals
• Monitored information barrier policies and controlled access to information between public-side trading desks, capital markets and investment banking

• Led a team of 5 in the development and execution of the overall compliance strategy; prepared the procedural manuals, annual compliance report for the CEO and the annual report to the Board.
• Coordinated with Capital Markets, Syndicate, Trading and Research departments to implement robust compliance programs including AML and KYC

• Assisted CCO in executing compliance strategies for the firm’s trading, sales, research and IB activities

• Conducted examinations of American Stock Exchange ("Amex") member firms' compliance and supervisory programs, including Written Supervisory Procedures, Direct Access Procedures, and Anti-Money Laundering programs to.

New York, New York, US

• Assisted in performing all compliance functions, including reviews of all sales and trading activity, coordinated responses on all regulatory inquiries and examinations, and provided oversight of all AML compliance.

New York, New York, US

• Executed equity and options trades, including all complex option orders (i.e. spreads, straddles), for the Firm's clients.

Bachelor Of Arts (B.A.), Business Management

Bachelor Of Arts - Ba, Accounting