Tim Vaughn Email and Phone Number

Management oversight and SME of over 400 central trading portfolios including daily BAU responsibilities, KRI and PnL reporting. Built tight control infrastructure by identifying key risks and implemented new and enhanced controls including daily reconciliation of all central books against reporting infrastructure, created and obtained Finance approval on PnL tolerance levels with standardized commentary, substantiated daily PnL, documented five standardized funding methodologies. •Created FTE savings by re-categorizing groups of portfolios into specific subsets to take advantage of efficiency. Coordinated documentation of desktop policies/procedures and developed new portfolio on boarding document requiring pre-approval of standardized tasks from all stakeholders prior to go-live.•New business implementation, management oversight and responsibility for dozens of projects to on-board new products, legal entities, collateral and exchange traded OTC business. Created scalable processes to prevent additional FTE costs•Tasked with ownership of dozens of trading system and SubLedger migrations onto a new central accounting platform to create consistency across all of middle office, including the decommission of a major Bank of America SubLedger accounting system, created new standardized account mapping infrastructure for each line of business•Dodd-Frank Collateral regulatory initiative, project lead to develop 25 new intercompany collateral relationships driven by regulatory pressure. In order to meet the strict deadlines due to limited timeframe given I used a standardized legal entity on-boarding approach to ensure all deliverables were met while keeping integrity on the proper controls.•Off shored four FTE to Gurgaon, India, worked with management team to determine procedural BAU activities to transfer, once offshore team was established and trained on list of tasks I spent two weeks in India to further develop troubleshooting skills.

•Performed omnibus accounting activities including dividend accrual and investment performance analysis. •Rebalanced portfolio positions as necessary. Prepared 1099 documents. Audited accounts in preparation of statements

•Received series 7, 63, and 65 licenses, personally acquired and managed $18 million in client assets. . •Developed marketing strategies with cold calling and seminar presentations. •Analyzed investment securities including stocks, bonds, and mutual funds. Studied cash flow, risk perimeters, and financial objectives to accomplish detailed financial strategies for clients. Designed retirement plans for small businesses.

•Worked for team of four financial consultants. Successfully introduced client relationships through telephone sales. • Maintained prospective client database. Assisted completion of comprehensive proposals.