Phil Chiappone Email & Phone Number

Built procedures and policy to control operational, market, and credit risk at account level, correspondent level and firm levelWorked directly with senior management and department heads in various areas of the firm including margins, trading, stock receipts, transfers, finance/cash management, settlements and P&S to respond to and develop solutions for both preventing and responding to risk related issuesProduced detailed analysis across a wide array of areas including on-boarding correspondents, individual account analysis, security specific analysis using a variety of modelsWorked closely with compliance and AML to ensure adherence to regulation as well as company policyIdentified areas where improvement was necessary, offered recommendations on how to improve efficiency and reduce operational risk – directed implementation

Greater Omaha Area

Merger and acquisition risk management/business analysis: orchestrated and executed risk mitigation tests and systems analyses, both internal and externalResponsible for actively identifying and mitigating financial risk derived from trading activity - specializing in derivativesEvaluate risk both existing in and potentially in customer accounts, taking action as needed to respond and designing methods of operation with management to proactively monitor and prevent in the future.Analyze and execute complex equity and index option trades for customer base. Developed and tested risk management systems for effectiveness Lead initiatives to assist clearing in better managing functions that impact retail business Designed training for risk management department regarding complex option strategies and associated risks.Selected to be member of the President’s Club. Identified as being in the top 2% of the firm from a performance standpoint.

Sold and serviced life, health, accident, annuities, property and casualty insurance

Sold and serviced life and disability insurance

Prepared personal and small to medium business Federal and state tax returns

1st Battalion 5th Marines