Nathaniel C. Email & Phone Number

Austin, TX, US

Austin, Texas, United States

• Managed financial operations in residential speculative construction business
• Monitored daily cash positions and forecast short-term cash needs over multiple concurrent projects
• Established and maintained commercial and private banking relationships
• Produced Financial Statements for lenders and investors as needed
• Assessed the company’s capital str4ucture and financing needs.
• Financial modeling of projects, cash flow management, budget maintenance

Starting in January of 2016, I was retained by ABG Sundal Collier to support the US Chief Compliance Officer with firm's AML, CIP and trade reporting programs as well as other ad hoc projects in compliance.

New York City

• Risk Controller for market and operational risk for US Broker/Dealer
• Compliance and finance duties added to responsibilities in 2013
• Covered finance and compliance duties of U.S. CFO/CCO in 3Q 2013 due to his medicalleave
• Lead AML/CIP team for curing SEC findings of deficiency in 2013 audit. Responsible for resulting new client on-boarding procedures and annual updates including required documentation, background searches, and on-going.
• Created TRACE/OATS/TRF reporting policy for Convertible Bonds desk.
• Responsible for setup, implementation of policy, monitoring and approval of employee trading, gifts, and political contributions using ComplianceScience PTCC

Greater New York City Area

• Project Manager on audit of risk consolidation for large broker-dealer merger
• Gap analysis of Basel II Compliance for global investment bank

Greater New York City Area

• Reviewed back test data and signed off for OSFI on VaR and stress breaches for all equity and credit desks in the Global Arbitrage Trading group (GAT).
• Led team to design a new IPV application to increase efficiency, accuracy and timeliness
• Compiled and submitted monthly regulation capital data for Basel II compliance for credit and convertible desks; streamlined process for better accuracy
• Compiled desk level reports on daily VaR and Greeks changes for senior management and traders for convertible arbitrage, fixed income arbitrage and credit trading desks
• Redeveloped existing report structure for all GAT risk management with VBA and SQL to improve efficiency and accuracy
• Analyzed probability and correlation assumptions of merger and event driven trades for profitability ranges and risk assessment, including fundamental analysis of positions and recent comparable deals

Greater New York City Area

• Reported and commented on daily VaR changes for rates derivatives desk to senior management
• Continued development of VaR reports for using Principle Component Analysis (PCA)and Amended Historical Simulation (AHS) and calculated daily Greek sensitivity using VBA, C# and SQL
• Migrated credit default swap risk methodology to AHS approach
• Worked with traders on “What-if” tools to model VaR effects from proposed intraday trades
• Modeled non-standard transactions for integration into risk process
• Responsible for weekly commentary on management proprietary trading desk risk covering interest rate, FX, commodities and credit positions; Conducted Monthly Stress simulation

Dallas/Fort Worth Area

• Managed $500 million investment portfolio comprised of approximately 55% equities, 35% fixed income and 10% other assets
• Responsible for explaining investment strategy and decisions to interested parties including co-trustees, co-fiduciaries and beneficiaries
• Authorized to trade with full discretion within bank guidelines on over 70% of assets
• Managed equity portfolios using self-developed quantitative Excel based modeling and valuation tools combined with fundamental research from bank research staff
• Developed platform to perform attribution and style drift analysis for outside managers
• Led development team to track time series data on relevant metrics of portfolio managers for Dallas and Atlanta teams using Excel, VBA and Access

Dallas/Fort Worth Area

• Raised $3 million in new client assets in first year (1st quartile of class in assets)
• Assisted Syndicate Coordinator in due diligence of prospective investment banking deals
• Passed licensing exams for Series 7, 63, 65, and 31 securities licenses
• Continued Advisor duties after taking on additional duties in 1999 as the Dallas Area IT Coordinator

Mba, Finance

Cfa, Financial Analysis

Activities and Societies: CFA Institute, New York Society of Securities Analysts

Bachelor Of Journalism, Photojournalism