Craig Sutherland Email and Phone Number
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Financial securities professional with experience Equity Capital Markets and operations.ECMI am an accomplished Equity Capital Markets (ECM) professional with a proven track record of success in the financial industry. With extensive experience in capital raising, IPOs, secondary offerings, and other ECM transactions, I am skilled at navigating complex financial markets and delivering exceptional results for my clients.As a strategic thinker and skilled negotiator, I thrive in fast-paced environments and am able to effectively manage multiple projects while maintaining attention to detail. I am well-versed in regulatory requirements and possess a deep understanding of market trends, investor sentiment, and industry dynamics. My ability to analyze financial data, assess risk, and develop innovative strategies has consistently driven successful outcomes for clients.Areas of Expertise:Equity Capital Markets (ECM)Initial Public Offerings (IPOs)Secondary OfferingsCapital RaisingFinancial AnalysisInvestor RelationsRelationship ManagementStrategic PlanningRegulatory ComplianceIf you are looking for an experienced ECM professional who can deliver results, please feel free to connect with me. I look forward to collaborating with you and helping you achieve your financial objectives.Operations As a seasoned and results-driven operations professional, I am passionate about optimizing operational efficiency and driving successful outcomes in the financial industry. With a track record of over 6 years of experience in managing middle office operations, I have honed my skills in trade support, risk management, settlements, and client relationship management.My expertise lies in overseeing daily operations, managing teams, implementing process improvements, and ensuring compliance with industry regulations. I thrive in fast-paced environments, and my ability to multitask, problem-solve, and make strategic decisions has consistently contributed to the success of my teams and firms.Areas of Expertise:Middle Office OperationsTrade SupportRisk ManagementSettlementsClient Relationship ManagementProcess ImprovementCompliance and Regulatory OversightAsset Class Knowledge: Equities, Fixed Income, Derivatives, Alternative Investments Automation and Technology SolutionsCross-Functional CollaborationTeam LeadershipCustomer ServiceInclusive Work Culture
China Renaissance Securities 华兴证券
View- Website:
- chinarenaissance.com
- Employees:
- 758
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Vice President Equity Capital MarketsChina Renaissance Securities 华兴证券New York, United States
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Vice President Equity Capital MarketsChina Renaissance Securities 华兴证券 Jan 2023 - PresentShanghai, Shanghai, Cn• Lead and coordinate cross-functional teams, including legal, accounting, and regulatory professionals, to ensure smooth and efficient execution of ECM transactions while complying with relevant regulatory requirements and industry best practices • Coordinate with issuers, Sales and trading on Roadshows • Counsel public and private companies on SEC reporting and disclosure matters -
Vice President OperationsChina Renaissance Securities (Us) Inc. Jun 2017 - Present• Set strategic goals for operational efficiency and increased productivity of department • Oversee daily operations of the middle office, including trade settlements, confirmations, reconciliations, and post-trade processing • Manage relationships with external vendors, custodians, and service providers to ensure service level agreements are met and issues are resolved promptly • Develop and implement operational policies and procedures to enhance productivity, streamline processes, and mitigate operational risks. • Prepare and present reports and metrics to senior management and stakeholders, highlighting operational performance, risks, and recommended actions. • Led the migration and upgrade of the firm’s legacy technology OMS provider to a more robust platform • Spearheaded the migration process from an incompatible third-party clearing firm to one that better aligned with firm’s growing business needs • Built out a robust PnL model to accrue and report daily expenses and revenues of the firm • Operations liaison for internal audit inquires and regulatory inquires • Member of supervision, Risk and control committee
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Director, Isg Securities Processing, Equity Syndicate OperationsMorgan Stanley May 2011 - Jun 2017New York, Ny, Us Support the Equity Capital Markets desk on all aspects of public equity origination executions, ranging from pre-launch guidance on proper settlement to aftermarket stabilization Review offering document for proper syndicate language, applying for CUSIP/eligibility at S&P/DTC, Register securities with issuer’s transfer agent or trustee, and setup internal product files Announce deals street wide and Submit deal information to regulatory bodies via telex and FINRA Set up deal shell, accurately capture risk at the point of execution, and facilitate share movements between internal accounts and Broker dealers by booking swing trades. Reconcile and balance firm accounts Participating in formal closing call with issuer, transfer agent, and investment banker on value date Carry out post settlement duties such as designating sales credit, monitoring and maintaining Shared Liability Accounts, maintain position and risk reports, Liaise between front office, settlements and P&S to ensure trade settlement -
Portfolio AdministratorVan Eck Global | Market Vectors Etfs Jan 2011 - Apr 2011New York, Ny, Us Monitor portfolio trade settlements and resolve issues preventing timely settlement for ETFs Interface with Portfolio Management for the timely responses to corporate action notices Prepare daily and monthly cash and positions reconciliations for ETFs Initiate daily transmission of portfolio trades to custodian and P&L as needed -
Trade AssistantCiti May 2005 - Nov 2008New York, New York, Us Closely monitored liquidity, size limits, gap risk and sector diversification of held assets totaling over two billion, executed, monitored settlements and also provided support and guidance to operations Captured and modified structured executed transactions such as total return swaps, principle protected notes and futures in trade capture systems Collaborated with IT and operations to automate the execution of daily trades and resolved front office vs. back office trade breaks, Interfaced with both internal groups and external clients to provide quality service and to resolve day-to-day issues Performed custodial duties for asset management client and Ad hoc assistance to Traders & Salespeople
Craig Sutherland Skills
Craig Sutherland Education Details
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University Of Tennessee, KnoxvilleGeneral
Frequently Asked Questions about Craig Sutherland
What company does Craig Sutherland work for?
Craig Sutherland works for China Renaissance Securities 华兴证券
What is Craig Sutherland's role at the current company?
Craig Sutherland's current role is Vice President Equity Capital Markets.
What is Craig Sutherland's email address?
Craig Sutherland's email address is cr****@****ley.com
What is Craig Sutherland's direct phone number?
Craig Sutherland's direct phone number is +191425*****
What schools did Craig Sutherland attend?
Craig Sutherland attended University Of Tennessee, Knoxville.
What are some of Craig Sutherland's interests?
Craig Sutherland has interest in Human Rights, Children, Disaster And Humanitarian Relief.
What skills is Craig Sutherland known for?
Craig Sutherland has skills like Finra, Equities, Hold Series 7, Microsoft Office, Dtc, Euroclear, Bloomberg Terminal, Mainframe, Lotus Notes, Dealaxis, Ipreo, Oasys.
Who are Craig Sutherland's colleagues?
Craig Sutherland's colleagues are Lisa Zhang, Xu He, Eric He, He(Mia) Li, 何建勇, 张靖野, 李小玉.
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