Sara Shookner Email & Phone Number

Canada

Canada

Toronto, Ontario, Canada

Toronto, Ontario, Canada

Global Markets Trading Business Management (TBM) functions have included Change Delivery, Business Regulatory Initiatives, Front Office Governance and ControlCurrently I am the delivery lead for Global Markets Business Control Program (BCP) for SEC Securities Based Swap Dealer registration. I will lead the work to implement the Six Pillar Compliance approach for first line business controls and facilitate business alignment to SEC Swap regulations. The BCP assessment method embeds controls for fulsome risk mitigation and supervisory oversight for securities-based swaps business. Other assignments have included; facilitation for the 2018 MiFID II RTS 6 Assessment, preparation for 2019 NFA examination and the 2020 program refresh for the Global Precious Metals and UK Money Market Industry Codes of Conduct where I worked with senior business stakeholders across the 3 lines in support of the Code Signed Statements of Commitment.

Worked closely with Institutional Equity business lines to determine opportunities for process improvements, cost savings and net new business initiatives. Subject matter expert for technology group, specialist in equity trading and trading technology, including order management, execution, settlement and booking processes. Expertise in client support for Institutional and Retail Equity Trading, Prime Brokerage and Alternative Trading DMA lines of business. Engaged senior stakeholders across all functions of the bank's business and technology groups to ensure effective project delivery and efficient problem resolution.

Toronto

Business specialist for equity execution during launch of Northern Securities online retail trading site. Initially worked with development group to create workflow and test cases, during internal site pilot. Once the site was launched in 1999, my mandate was expanded to work with Northern Securities senior executive team and the Business Development group to expand product and asset class offerings from equities to include bonds, USD currency, Canadian private equity investment education, investment banking activities and credit union functionality for website.In 2000, eNorthern was awarded the best online trading site by Rob Carrick of The Globe and Mail ROB.

Toronto

Member of the Dow Jones Rolling Thunder initiative, tasked with supporting the corporate alliance with OptiMark trade analytics system. The OptiMark trading system was integrated with Dow Jones financial data feeds to derive pricing structures for the OptiMark system 3-Dimentional equity trade models. I participated in vendor trade shows and business development initiatives to increase the Dow Jones profile among US buy and sell side clients in support of the OptiMark partnership.

Toronto, Canada Area

Executed and booked US and Canadian equity trades for Canadian and US Broker Dealers

Toronto, Canada Area

Supported Quantex Trade System, provided system training and trade booking support for Canadian Institutional Buy Side clients.

Toronto, Canada Area

Maintained corporate and commodity data models.Produced extensive customized presentations for international and domestic marketing campaigns for Institutional and Retail bank clients.Worked closely with the editing and publication group to ensure accurate and timely release of all research material.Organized client conferences for Metals and Mining Research team.

Professional Development Program

Elevate: - Your network. Build influential and empowering professional relationships; - Your learning. Develop professional skills.

Completed The Rotman Executive Program - Woman Back To Work Initiative, Sponsored By Td Bank

This four month course enables woman who have been out of the paid workforce for more than 3 years to build their professional network.

Bachelor’S Degree, Art And Architectural Theory

2015 Completed Re-Certification For Canadian Securities Course