Mark Kernaghan Email & Phone Number

Toronto, Canada Area

- Conducted daily and monthly tier 1 trade reviews for the equity desk to ensure the firm's activities comply with applicable securities regulatory requirements as well as internal policies and procedures- Implementation of policies and procedures manual- Reviewed and approved documentation for opening of new accounts- Managed registrants Continuing Education credits- Liaison with registration department for current and new employees for IIROC and FINRA registration

Toronto, Canada Area

- Conducted daily and monthly trade reviews of the securities for fixed income and equity desk to ensure the firm’s activities comply with applicable securities regulatory requirements as well as internal policies and procedures-Proactively identified, investigated, resolved, and documented compliance issues in a timely manner-Responded to regulatory inquiries including the compilation of data, correspondence, and supporting documentation-Stayed up to date on current regulatory requirements

Toronto, Canada Area

- Communicated with new and existing clients regarding completion and updates of NCAF (New Client Account Form) including gathering sufficient details to meet RBC AML requirements- Maintained and managed client account structure in both BTS, as well as, CDI’s Fidessa trading platform- Supported and provided backup for daily client trade allocations and matching- Supported and provided backup for daily buy-in actions- Supported Manager, Client Services regarding daily and monthly administration of commission management process, including determining eligibility of vendor payments according to NI 23-102- Prepared reports for analysis of monthly exchange fees for active/passive trading- Generated daily retained reports showing company profitability as well as statistical charts showing 20 day and YTD Moving Averages- Managed fix and IOI connections for trade desk

Toronto, Canada Area

- Assisted in the implementation of policies and procedures for trade desk reviews using UMIR Rules- Conducted daily and monthly trade reviews of the securities, documented findings and recommended action for non-compliance- Prepared the quarterly trade desk compliance report summarizing the testing results and trade reviews for review by board of directors- Communicated with new and existing clients regarding completion and updates of NCAF (New Client Account Form) including gathering sufficient details to meet CDI AML requirements- Monitored and reported on non-client (PRO) account activity to ensure compliance with regulation and firm policy- Dealt with regulatory examinations by IIROC- Managed registrant’s Continuing Education credits and reported to IIROC- Updated registration for current and new employees on NRD as required- Managed annual renewal process for firm registration with applicable jurisdictions- Monitored trader error account and reported to operational risk group

Toronto, Canada Area

- Assisted Traders with trade ticket allocation and input- Ensured settlement of trades- Processed client requests for soft dollar payments- Reconciled client soft dollar statements on a monthly basis- Opened Accounts in BTS- Conversed with clients regarding account instructions and settlement of trades- Conversed with dividend department, clients and custodians to reconcile outstanding dividends in accounts

- Facilitated release of interest and dividend payments by interacting with custodians to ensure timely delivery of cheques and wired funds

- Processed trade corrections for mutual funds

Education record

Completed the following courses Series 37 (2014) Series 24 (2014) Series 99 (2014)

Education record

Completed the following Courses Branch Managers Course (2014) Trader Training Course (2012) Derivatives Fundamentals Course (2011).

Bachelor Of Economics, Economics