Ian Bauer Email & Phone Number

New York, Ny, Us

New York, Ny, Us

Fixed Income Financing Product Controller• Owned the daily production of p&l, risk and balance sheet metrics for signoff by the Emerging Markets (EM) trading desk. Developed trend reporting across p&l, risk and balance sheet usage for the business• Assessed management of internal financing costs for the EM desk through data analytics. Communicated results with strategic initiatives recommended for reducing costs; resulted in over $1mm annual saves for the desk• Performed balance sheet reconciliations of complex billing discrepancies, partnering with trading and operations departments to resolve at-risk cash flow items and ensuring accurate accounting of monthly, quarterly and year end closes• Reengineered monthly income/expense attribution processing for the global FIF finance team, presenting enhancements to senior management and Internal Audit; successfully rectified inherited global action item from previous audit • Delivered quarterly regulatory reporting submissions including pledged assets and fair value disclosures in accordance with US GAAP; coordinated with the external reporting group to satisfy queries from global regulators• Developed ROA reporting metrics for global senior management, providing granular regional performance analytics

New York, Ny, Us

EMEA Equity Financing Product Controller• Owned the daily production of the Inventory Management desks’ t+1 p&l metrics for front office signoff with detailed p&l explain including attribution by first and second order derivatives. Desk revenues in excess of $70mm per annum • Managed team members in the daily production of the Stock Loan and Collateral Management desks’ t+1 p&l; delivered detailed weekly, monthly, quarterly and annual revenue analysis submitted senior management and global regulators• Certified the financial modeling for a structured dividend arbitrage strategy that generated $15.4mm in 2014• Engineered the reconciliation of foreign tax credit (FTC) usage by the business closing a significant control gap; implemented strategy for front office to execute FX hedges on risk driven by cross currency FTC balances• Represented the Product Control group at monthly global Prime Brokerage governance meetings held by business leads, providing presentations on p&l metrics, performance vs forecasting and at-risk revenue and expenses

Asset Servicing - Corporate Actions and Dividends• Managed voluntary and mandatory corporate stock events in EMEA including rights issues, warrant exercises and exchange offers for Prime Brokerage, Broker Dealer and Global Clearing Services clients• Facilitated the centralization of global coverage for German, Swiss, Austrian and Scandinavian equity markets through migration of operational processing from New York to London; extended client response deadlines for participation in time sensitive corporate action events, strengthening client relationships• Represented departmental interests related to 6-month technology initiative to increase operational efficiency between back-office systems and front-end user response platform; resulted in automatic feed of essential offer-specific documentation for instant review and completion by clients, enhancing the client experience• Developed and implemented back office solutions for Prime Brokerage clients in partnership with front office to service corporate action events for client initiated over-borrowed positions

Montreal, Qc, Ca

• Provided shareholder meeting materials and reconciled voting instructions from Prime Broker and Global Clearing Services clients. Instructed client votes in the market directly with global custodian banks• Coordinated departmental testing of an outsourced internet based proxy voting solution for clients. Responsibilities included reporting progress to senior management and recommending improvements based on client feedback• Instructed Analyst Trainees in biweekly presentations, preparing detailed lessons on varied subjects of the securities industry; mentored trainees through team-building exercises