Mark Burns Email & Phone Number

Smithfield, Ri

• Currently overseeing the Active Trader platform and digital brokerage products and experiences (equity trading, research, etc.)• Currently overseeing the Designated Brokerage Services B2B business, which supports external financial services companies and their compliance professionals• (2012-2018) Responsible for retail investing Fixed Income (bond and CD business) product • (2017-2018) Cash Management products (credit card, core sweep, banking functions, etc.)

Smithfield, Ri

Responsible for two distinct teams within the Brokerage and Cash Management Division: 1. Fidelity Brokerage Services LLC governance and supervision program, and cross-FBS company compliance/control projects. 2. Fixed Income product and platform development for Fidelity’s retail bond and CD offering.

Hong Kong

Relocated to Hong Kong to open Asia Pac (ex-Japan) office for Fidelity’s Investment’s US based asset management business (FMR Co.).

Boston, Ma

Responsible for management of institutional brokerage trading and middle-office operations within Fidelity Investment’s Capital Markets division, with eleven direct reports (VP level) and over one hundred and thirty indirect reports in Boston, Ma. and Jersey City, NJ. Responsibilities included Institutional Equity and Fixed Income Trade Support, Prime Brokerage & Stock Loan Operations, Custody Operations (internal Fidelity companies), Facilities Management, Project and Planning, Equity Orderflow Management and Regulatory Reporting.

San Francisco, Ca

Directed three departments - Purchases & Sales (P&S), Fixed Income Trading Support, and Institutional Brokerage & Equity Trading Operations. Responsible for a staff of thirty-three employees in San Francisco, CA and Jersey City, NJ. Managed the regulatory and procedural aspects of the trading operations, trade clearance, prime broker business, and related projects.

San Francisco, Ca

Recruited to join a small team of line-managers and process experts to redesign Schwab work processes and systems. The team focused primarily cash management and securities processing. Implemented process improvements and systems changes, which cut end-to-end processing time by 75%. Projects included all aspects of cashiering and DTC eligible securities processing.

San Francisco, Ca

Schwab Capital Markets & Trading Division

San Francisco, Ca

Selected among a field of internal and external applicants to enhance brokerage and management skills through course work and cross-training. Rotations included one field branch office, Dividends, Reorganization, New Accounts, Cash Management, Marketing, and Trading Administration. The program included an intensive five-month project management rotation within Capital Market & Trading.

San Francisco, Ca

Responsible for the supervision and maintenance of equity levels in client accounts as well as enforcing securities industry regulations. Other duties consisted of approving customer disbursements, recognizing inherent risks with respect to current market conditions and maintaining extensive branch office contact.