Connor Fleming, Cfa Email & Phone Number

Wilton, CT

• Execute preferred securities transactions with discretion over timing and price levels for an actively managed ETF, a closed-end fund, and multiple SMA platforms totaling $3.5B AUM
• Responsible for managing investment and rebalancing of all firm SMA accounts ($900M AUM), in accordance with a portfolio model
• Perform ad hoc credit research and write reports utilized by portfolio managers seeking to maximize total return while implementing strategies consistent with fund objectives
• Analyze relative value and security structures of preferred, hybrid, and debt securities using a proprietary security database to develop security swap proposals for portfolio managers
• Monitor potential macro risks using top-down analysis related to securities under management, focusing on oil risk
• Support Portfolio Managers with various investment evaluations related to fixed income securities, including the research and drafting of a comprehensive reference document describing security characteristics and.

Greenwich, CT

• Monitored client trades on a real-time basis to ensure best execution and prevent insider trading through multiple proprietary software/risk/compliance models
• Reviewed and maintained extensive security master database, providing foundational data for compliance software modules
• Generated best execution reports for client trades, covering fixed income and equities
• Served as lead analyst for insider trading reports, utilizing data analysis and trending to detect trading violations
• Redesigned counterparty risk report to improve risk monitoring controls for clients

Bachelor'S Degree, Accounting

Education record

• Performed company valuations utilizing (i) comparable public company analysis, (ii) precedent transactions analysis and (iii) discounted.

Education record