Danny Baldwin Resume

November 03 – Date HBOS 33 Old Broad Street, London

Position: Senior Compliance Analyst / Front Office Advisor (based on trading floor)

Responsibilities -
• Provide compliance advisory services to the business (covering FX, Derivatives, Futures and Money Markets).
• Assisting with the regulatory set-up and providing advisory services to overseas branches (NY, Dublin & Australia).
• Providing annual on-site monitoring of overseas branches.
• Preparing and giving regulatory training to various business areas.
• Approving new dealing products and jurisdictions.
• Providing compliance support and regulatory advice to research and e-commerce functions.
• Various project work relating to business and new developments in UK regulatory environment.
• Staying aware of the regulatory risks associated with business functions and contributing to the scope and planning of compliance work in response to such risks.
• Maintaining good awareness of FSA rules, Data Protection legislation and NIPS code including any future changes possibly requiring dissemination to business.
• Identifying potential business process / policy improvements and making amendments where appropriate.
• Carrying out additional duty of Deputy Data Protection Liaison Officer.
• Assisting “New Client Account Opening” team
• Ad hoc duties.

April 03 – November 03 Seymour Pierce, 3 Queen Victoria St. London EC4N 8EL

Position: Equity Compliance & Research Analyst * (Temporary contract)

Responsibilities -
• Identifying significant breaches of internal procedures to be escalated to the Compliance Manager for further action and added to the rule breach log.
• Reviewing and approving all research produced. Including checking against watch, stop and insider information lists.
• Reviewing and approving personal account dealing for staff members.
• FSA registering and de-registering of staff.
• New account opening for clients. Including money laundering checks and applying KYC checks for suitability using various sources (bankers almanac, companies house etc.).
• Updating client complaints register when needed and completing complaint returns to FSA for the 3 separate entities of Seymour Pierce Group.
• Handling queries and making disclosures to The Panel on Takeovers and Mergers.
• Completing and returning transaction enquiry forms to the FSA.
• Undertaking various projects including “Client File Reviews” & “Business Continuity Plans”.
• Updating various databases for stock & transaction monitoring, client exposure, watch lists and staff transactions.
• General ad-hoc duties.

Reason for leaving End of contract
Feb 2003 - March 03 Credit Suisse Group, 1 Cabot Square ,London E14 4QJ

Position: Compliance Analyst * (Temporary contract )

Responsibilities -
• Reviewing, analysing and chasing up outstanding US Patriot Act documentation for all European counterparties.
• Sending out additional documents for counterparty branches and subsidiaries.
• Liaising directly with counterparty management regarding returning documentation before deadline.
• Updating Access database and liaising with NY office regarding problems and rejected certificates.

Reason for leaving End of contract

August 2001 – Nov 2002 ISMA / Coredeal MTS, 99 Bishopsgate, London

Position: Compliance Officer

Responsibilities -
• Daily monitoring and reporting of exchange and OTC market activity for regulatory purposes in accordance with N2.
• Investigating and reporting if needed any suspicious activity relating to market abuse, insider dealing and money laundering thus ensuring best market practice.
• Handling and resolving member queries and complaints.
• Constant review of all compliance procedures and implementation of any new processes.
• Project work.
• Representing the company at meetings with members and at the FSA.

Reason for leaving Redundancy due to company liquidation

March 2001- August 01 ING Barings, 60 London Wall, London

Position : Fixed Income Settlement Clerk (*Temp contract until August due to department relocation*)

Responsibilities –
• Working within team handling all aspects of fixed income bond pre and post settlements for Repos, Emerging Market, Corporate & Government bonds and Equities.
• Settling using DTC, Euclid, Euroclear and Domestic agents.
• Working to strict settlement deadlines due to differing time zones.
• Investigating and reconciling failed trades on urgent unmatched.
• Updating daily spreadsheet with regards to failed trades and the status of each.
• Prioritizing trades for settlement.
• Cross-border transfers.
• Liaising with traders with regards to failed trades, stock reconciliations etc.
• Extensive liaisons with Cash Management Dept to ensure Nostro accounts are correctly credited / debited before end of deadlines.
• Calculating brokerage fees to be paid or received and ensuring that all cash transfers are made correctly.
• Reconciliation of trades, stock and cash.
• Calculating and chasing interest claims.
• Reconciling interest claims and brokerage fees paid and received.

May 2000 – Feb 2001 Career Break to travel.


Sept 1999 – March 2000 HSBC , Mariner House, Pepys Street, London EC3N 4DA
Position Equities Execution Dealer(Temporary)

Responsibilities -
• Working on high volume equities desk, booking and placing deals on UK & International equities markets(FTSE,AIM,NASDAQ etc)
• Prioritizing orders.
• Executing deals on a best price and sometimes discretionary basis.
• Handling and resolving ad-hoc queries and complaints.
• Reporting market activity, news-flow, changes in forecasts and all other relevant stock information.
• Liaising with bank branches with regards to customer share transactions and certificates.

Reason for leaving End of contract

April 99 – Sept 99 Seeking Employment

March 1998-March 99 Caboto Securities Ltd, 54 Lombard Street, EC3P 3AH
Position Senior Futures Broker

Responsibilities -
• Broking and executing orders for company and own UK based clients mainly specializing in European futures markets.
• Reporting on market activity and trading out open positions involving discretion, complex spread trading and also best price execution.
• New business development involving building client base by constant liaisons, arranging meetings and entertaining thus gaining a good rapport.
• Organizing other brokers so the most active markets were adequately covered.
• Resolving problems and out-trades quickly and efficiently to ensure minimal capital loss.
• Resolving disputes by listening to broker conversations on tape.
• Working in high pressure, high volume environment dependant on good teamwork and ability to think on your feet.

Reason for leaving: Redundancy then 6 months seeking employment

Jan 1992-Feb 1998 Tullet & Tokyo, Old Broad Street,London
Position: Short Term Interest Rate Futures Broker

Responsibilities -
• Working as one of a team of five brokers arranging & executing orders in high volume, high pressure, interest rate futures derivatives markets.
• Dealing with numerous client orders and prioritizing accordingly.
• Handling problems and disputes arising from trading activity.
• Reporting market activity, news-flow, changes in forecasts and any other information.
• Checking all trades, investigating and solving any discrepancies using TRS system.
• New business development involving building client base by liaising via phone and face to face meetings thus gaining a good rapport.
• P & L calculations & position keeping.

Reason for leaving Career Move

Professional
Qualifications: SFA Registered Rep. qualification (1992)
FOA Compliance in Derivatives (2005)

GCSE's:
English Language & Literature, French, Mathematics, Computer Studies,Geography, Physics

English

1978 - 1990 Riverston Independent School,London SE12

1990 - 1991 Orpington College Of Further Education

I enjoy football, golf, reading and travel.

On request