K. Sean Frey Email & Phone Number

Chicago, Il, Us

New York, Ny, Us

A buy side trading solutions firm delivering best-in-class execution services to investment managers across global equity markets.

Purposeful mid-career sabbatical to refresh, recharge, rekindle, and reframe as I prepare for the next chapter of my personal and professional journeys. This time has been focused on my physical and mental health, my personal and professional relationships, and skills and knowledge development in this rapidly changing environment.

London, Gb

*Private Equity backed $5B balance sheet US Futures Commission Merchant.*Led Accounting, Treasury, FP&A, and Commissions/Fees for FCM that grew 300% during my tenure. *Drove automation in processes and talent development to scale functions for growth.*Led Finance due diligence for North American acquisitions.*Regulatory point person for all financial inquiries.*Responsible for creation and filing of financial statements for three (3) legal entities during tenure. Implemented Workiva to streamline year end processes for FY 2022.

London, Gb

Chicago, Illinois, Us

*Leading options brokerage at CBOE and CME.*Led integration of execution broker dealer post acquisition by Marex.*Collaborated across the Marex entities to negotiate and quantify new brokerage structures which specifically contributed to XFA's growth during my tenure.

Minneapolis, Mn, Us

Chicago, Il, Us

*Built shared services treasury process to increase efficiency in cash management and return on invested cash.*Worked with National Flood Services to document and impose additional controls on their cash processing which resulted in greater efficiency as well as decreased incremental costs.*Led integration of ETC stock loan desk with APEX Clearing stock loan desk.*Developed business plan for APEX Clearing stock loan growth coordinating desks in Dallas and NYC.*Mentor and develop staff across the organization.

Us

*Led and developed a team of 14 industry professionals*Develop and manage daily clearing for US Equities and ETFs for industry leading global clearing firm*Develop and oversee Authorized Participant role for ETF function resulting in significant volume in primary market for ETFs*Continuously develop technological solutions to streamline the interaction between client and clearing including FIX utilization for ETF interface*Management of issue resolution and technology development for securities clearing function*Develop multi-generational team to continuously improve clearing function and add additional products and offerings for AACC*Client relations management regarding operations functions including feedback and feed forward*Firm representative on DTC ETF Industry Working Group and ICI ETF Advisory Group

Us

*Led and transformed a team of 11 industry professionals*Managed Treasury and Securities Finance for global clearing firm*Developed analytical model for Treasury and Securities Finance functions resulting in increased client facilitation and client growth*Led Equities Securities Finance systems implementation to upgrade from internally developed software to combined vended solution*Led initiative to grow securities finance activity by 2x multiple in 2 years*ALCO member responsible for increased data delivery and more effective collaboration with NY colleagues*Lead for Treasury related external and internal audit interaction and responses.*Oversaw Continuous Improvement initiative for the Treasury and Securities Finance teams*Lead change management initiative for broader firm's culture*US finance department liaison for international firm finance communications and initiatives*Created and led successful Ideas Week innovation program for Chicago office

*Led and developed a team of 5 junior staff*Created, executed, and managed FX hedging program for the firm's global FX exposure (3 countries/12 currencies). *Daily liquidity management/forecasting and monthly cash forecasting as well as capital planning. *Established and negotiated credit lines with external lenders and oversaw credit and banking relationships. *Managed tax preparation and planning. *Developed FP&A functions. *Managed US Treasury Self Clearing operation that clears up to $12B daily including the Controllership for this business unit. *Special projects such as financial modeling, OTC swap monitoring, etc.

Created the Treasury function to allow the firm to handle the daily Treasury demands of its growing Prime Brokerage relationships as well as the funding and collateral requirements from Self Clearing. Created all of the daily reporting and forecasting to allow the firm to successfully weather the Financial Crisis of 2008 and 2009.

Selected to be the Operations Manager for the firm's foray into Fixed Income Self Clearing. Established relationships with FICC, CME, and Bank of New York to allow the firm to successfully clear upwards of $10B in daily securities settlements.

Hired to automate the daily collection and positing of journal entries for the firm's diversified trading. Decreased daily man hours for the collection, posting, and reporting from 10+ to 2 hours. Developed ancillary processes and reporting from the automated data.Responsible for all accounting processes and financial reporting.Lead for external and regulatory audits.Responsible for Net Capital computations and adherence for capital adequacy.

Responsible for all accounting, reporting and compliance related work for a Designated Primary Market Maker holding company with groups on the CBOE, PHLX, and PCX. When company was floundering, I was tapped to run the office in Chicago and was responsible for the additional duties of HR, Risk Management, and Finance.

Chicago, Illinois, Us

Responsible for market monitoring of position limits and options exercises. Tapped for the start-up regulatory group responsible for market practice and financial monitoring of Designated Primary Market Makers. Presented frequently to the Business Conduct Committee.

Washington, Dc, Us

Closed open casework as well as created the derivatives, options, and commodities OCIE Modules for Field Exams.

Legal and Compliance Intern responsible for new account paperwork management. I also worked closely with the Options and Commodities Analyst to understand the compliance aspect of the derivatives space.

Mba, Finance, Economics, Statistics And Econometrics

Bba, Finance

High School