Timothy Mccarthy Email & Phone Number

Evanston, IL, US

Northfield, Illinois

Current duties include supervision of financial reporting; oversight of commission payments including collection, calculation, and distribution; direct all banking functions, payroll, invoice payments, and vendor relations.

Sarasota, Florida (and Chicago)

Established and supervised entire compliance function including: managed responses to regulatory inquiries and examinations; ensured required regulatory issues addressed accurately and in a timely manner; developed reviews, updates, and maintenance of compliance manuals and policies; directed use of vendor software systems to maintain compliance.

Chicago, Illinois

Managed licensing, continuing education, registration, and employee filings; coordinated email and correspondence review for compliance with FINRA requirements; designed ethics code and code of conduct program; improved and strengthened relationships with existing clients; supervised special projects and firm initiatives as needed.

Des Plaines, Illinois

Directed project to eliminate risk related to chemical product distribution including compliant product marketing and distribution, regulations tracking, and regulatory reporting requirements.

Chicago, Illinois

Initiated sales of proxy research and voting services to prospective clients throughout a 10-state Midwest region.

Chicago, Illinois

Managed 5-state territory, driving sales of governance solutions, socially responsible investing services, and securities class action services. Developed and supported clients such as institutional money managers, mutual funds, bank trust departments, and hedge funds. Identified current and emerging business needs, key buying motivations, and individual.

Chicago, Illinois

Increased sales of information services including market data solutions, analytical applications, and portfolio management tools to product distributors such as mutual fund and insurance companies, banks, and institutional money managers, and financial and media portals. Expanded new and existing client relationships through use of consultative sales.

Chicago, Illinois

Drove revenue growth through the analytical and consultative sales of business information services to senior financial executives. Qualified prospects, determined needs, recommended solutions, and managed sales process through closure of consulting assignment.

Chicago, Illinois

Expanded sales in Midwest territory through new account acquisition and management of existing client relationships. Marketed fundamental research product to potential clients in equity, investment-grade fixed income, and high-yield institutional investment community on both buy and sell sides. Selected for new broker-dealer operation with focus on.

Mba, Finance

Bba, Finance