Sean Diffley, Cfa Email & Phone Number

New York, Ny, Us

Greater New York City Area

New York, Ny

Equity Products & Sales Associate* Equity product specialist responsible for advising the firm’s Private Wealth Management (PWM), Middle Markets Group (MMG), and core MSSB Financial Advisors (including eighteen of the Barron’s Top 100) and clients* Deliver global equity solutions, insights, and actionable ideas across single stocks, ETFs, CEFs, structured investments and options to the MSSB platform through written email product, conference calls and branch and client presentations* Integral part of a three person team responsible for managing, tracking and marketing the Capital Markets Equity Focus List which is a twenty position portfolio/recommended list followed by FAs that has outperformed the S&P 500 by 20 percentage points since involvement in January 2009* Manage content and distribution of Morgan Stanley and Citi Research to the MSSB channel and author daily emails distributed to over 17,000 financial professionals including Capital Markets Observations, Morning Research Highlights, Market Updates and Action Ideas (buy, sell and swap ideas)* Responsible for reporting, interpreting and presenting transaction equity business performance (commissions, volumes, stock and sector trends) to management, in addition to help determine the strategy of the team’s efforts* Work closely with MS Research, Institutional Sales & Trading, and Investment Banking to leverage the firm through the retail channel, in addition to coordinating with Corporates for live meetings, conferences, and webcasts with MSSB* Involved in the recruiting process and create training materials and lead teach-in’s and lectures for incoming analyst classes and new employees

New York, Ny

Legal, Compliance & Audit Division, Control Room Compliance Analyst / Capital Markets Contracts Legal Group Summer Intern, Lehman Brothers / Barclays Capital — Summer 2007, July 2008-December 2008* Assisted in monitoring and reporting to the firm’s corporate council to ensure abidance by Sections 13 and 16 of the Security Exchange Act of 1934* Reviewed Investment Banking pitchbooks and presentation materials to ensure compliance with the Global Equity Research Settlement and determined the appropriate regulatory disclosures to be used on Equity & Fixed Income Research reports* Aided in the negotiation and execution of OTC derivatives ISDA masters agreements (Equity, Fixed Income, Commodities) through communication with internal and external parties involved in transactions

New York, Ny

Bachelor Of Science (Bs), Finance, General

Activities and Societies: Gamma Phi: Business Honor Society, H2nOva Co-Founder, Villanova Student Managed Funds, WXVU RadioGraduated Cum.

Education record

Education record