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Brian C. McCabe
Mobile: (917) 566-8461
E-mail: briancmccabe@gmail.com
Client/Account Executive with over 15 years of progressive experience managing complex client
relationships with multiple points of contact over a worldwide organization. Responsibilities included but
were not limited to: cultivate and manage relationships with new and existing clients, developing and
executing strategic account plans, preparing marketing materials, pinpointing business development
opportunities and coordinating sales & marketing teams, accordingly. Designing and implementing clients’
business strategies to ensure continuity through any & all market conditions, changes in business operations
and/or regulatory conditions.
WORK EXPERIENCE
Trade Surveillance Analyst – Investec Securities, New York, NY (March 2015- December 2015
Contract) Focused on ADR & Equity UK, Ireland, South African & Hong Kong Equity transactions and
involving the review of communications and transactions, managing investigations, following dedicated
procedures and maintaining subject matter expertise on industry trends.
• Vet and process written and voice communications, and identification of trends
• Review transaction reports and analyze trade data to identify exceptions
• Liaise with business and other key stakeholders such as Compliance, Risk, Legal and Senior
Management to close out or escalate exceptions and cases
• Manage the investigation of potential violations and ensure proper closure
• Follow the procedure for investigation of potential violations and ensure proper closure
• Optimization and refinement of search methodologies through pattern recognition
• Update and develop new management reports
• Design, construction, maintenance and automation of trade reports
• Streamline processes and maintain procedures
• Research industry trends and industry best practices
• Assist with or lead adhoc projects as needed, ensuring delivery of key milestones and tracking
project plans
• Develop presentations for regulatory bodies or senior management
Client Executive & Vice President - BNY Mellon, New York, NY (November 2009-May 2013)
As an advocate for the client acted as the first point of contact and handled every facet of the client
relationship. Responsible for new business development and client management for client base. Worked
with product sales and product and relationship managers in order to broaden and deepen client
relationships. Worked internally with the client management team to maintain and increase client
satisfaction and to increase the profitability of each relationship.
• Managed a portfolio of 15-20 broker dealer clients with responsibility for approximately $50-80
Million in annual revenue.
• Opened, closed and managed client accounts over multiple product lines. Established and
maintained myself as the primary and trusted contact at BNY Mellon for all points of contact
across the client relationship; worked with product areas to ensure the products and services the
client is using are being delivered efficiently; act as an advocate on behalf of the client, direct new
product or service inquiries ensuring that they are promptly addressed.
• Prepared marketing solutions to prospects and clients utilizing the entire suite of BNY Mellon
products and services including –Capital Markets, Investor Services, Issuer Services, Execution
Services, Asset Management, Capital Markets, Credit, Global Payments & Trade Finance, Global
Markets. Managed the entire sales process by rigorous client targeting; preparation of marketing
materials, pro-active calling, identifying and qualifying leads, working collaboratively with
product sales teams to convert opportunities to mandates, documenting the sales process and
results, and managing the process on behalf of the client.
• Managed the summer intern program in 2011 & 2012, which included interviewing and hiring
interns. Assigning projects, which would benefit both the intern and employees. Providing mid
summer and end of summer performance reviews.
• Managed the client credit approval process, including structuring the transactions and monitoring
the client and portfolio credit risks.
• Managed the administration of “KYC” (Know Your Customer) requirements for each client.
• Managed and mitigated risks to the Bank.
• Founding member of PRISM – BNY Mellon’s affinity group to promote an open and supportive
environment for all lesbian, gay, bisexual and transgender (LGBT) employees.
Associate Client Executive & Assistant Vice President - BNY Mellon, New York, NY (August 2007-
November 2009) Was promoted to Assistant Vice President and transferred from the domestic banks group
to the broker dealer group. In addition to providing portfolio assistance to Senior Client Executives,
managed select client relationships.
• Worked to establish myself as the primary and trusted contact of the client relationships, which I
was assigned.
• Gained knowledge on Broker Dealer specific products the Bank provided.
• Participated in the credit approval process completing Stroble, the bank’s nine-month credit and
accounting class.
Associate Client Executive & Assistant Treasurer - BNY Mellon, New York, NY (May 2005-August
2007)
Provided assistance to the Client Executive for their overall client portfolio; focusing specifically on
domestic Banks
• Prepared marketing materials used for client presentations
• Wrote minutes of and managed any follow-ups arising out of client meetings.
• Worked with product relationship managers across client relationships.
• Gathered and prepared information for use in the client KYC process.
• Gathered and prepared materials used in the credit approval process.
Pricing/Risk Analyst- Royal Bank of Canada, NY (April 2003-May 2005)
• Lead a five-person team responsible for pricing a book of 1,200 hedge funds (i.e, month end and
mid-month performance estimates, month end capital account balance and fund size).
• Produced risk reports for review by senior level management including Managing Directors and
Bank Treasurer.
• Approved on redemption and subscription transactions. Liaise with front office and Managing
Director sign off.
• Contributed to the design and enhancements (based on the ongoing team needs) of the in-house
accounting system currently in use.
• Assisted in design, test & implementation of new systems to meet with the Bank’s standing order
Requirements
• Performed and delegated ad-hoc requests for the front office
Equity Fund Accountant, JPMorgan Chase, NY (October 2000 – April 2003)
• Monitored daily cash flows for 40+ unit investment trusts (combined market value over $1
billion).
• Responsible for daily letter of credit (LOC) (daily value $40 + million)
• Responsible for the accurate calculation of the daily present values for each account.
• Monitored domestic & foreign trades, as well as investigated failing trades and contacted broker to
facilitate settlement.
• Identified & reconciled discrepancies with equity custody systems & internal accounting database.
• Responsible for preparing income distributions, termination of accounts, tax reporting and
financial statements for annual reports.
• Researched all corporate actions-ensuring accurate calculation execution of all mergers,
acquisitions & spin-offs.
EDUCATION
State University of New York College at Oneonta
BS, Business Economics - May 2000
Minors: Marketing and Finance

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BCMc Resume

  • 1. Brian C. McCabe Mobile: (917) 566-8461 E-mail: briancmccabe@gmail.com Client/Account Executive with over 15 years of progressive experience managing complex client relationships with multiple points of contact over a worldwide organization. Responsibilities included but were not limited to: cultivate and manage relationships with new and existing clients, developing and executing strategic account plans, preparing marketing materials, pinpointing business development opportunities and coordinating sales & marketing teams, accordingly. Designing and implementing clients’ business strategies to ensure continuity through any & all market conditions, changes in business operations and/or regulatory conditions. WORK EXPERIENCE Trade Surveillance Analyst – Investec Securities, New York, NY (March 2015- December 2015 Contract) Focused on ADR & Equity UK, Ireland, South African & Hong Kong Equity transactions and involving the review of communications and transactions, managing investigations, following dedicated procedures and maintaining subject matter expertise on industry trends. • Vet and process written and voice communications, and identification of trends • Review transaction reports and analyze trade data to identify exceptions • Liaise with business and other key stakeholders such as Compliance, Risk, Legal and Senior Management to close out or escalate exceptions and cases • Manage the investigation of potential violations and ensure proper closure • Follow the procedure for investigation of potential violations and ensure proper closure • Optimization and refinement of search methodologies through pattern recognition • Update and develop new management reports • Design, construction, maintenance and automation of trade reports • Streamline processes and maintain procedures • Research industry trends and industry best practices • Assist with or lead adhoc projects as needed, ensuring delivery of key milestones and tracking project plans • Develop presentations for regulatory bodies or senior management Client Executive & Vice President - BNY Mellon, New York, NY (November 2009-May 2013) As an advocate for the client acted as the first point of contact and handled every facet of the client relationship. Responsible for new business development and client management for client base. Worked with product sales and product and relationship managers in order to broaden and deepen client relationships. Worked internally with the client management team to maintain and increase client satisfaction and to increase the profitability of each relationship. • Managed a portfolio of 15-20 broker dealer clients with responsibility for approximately $50-80 Million in annual revenue. • Opened, closed and managed client accounts over multiple product lines. Established and maintained myself as the primary and trusted contact at BNY Mellon for all points of contact across the client relationship; worked with product areas to ensure the products and services the client is using are being delivered efficiently; act as an advocate on behalf of the client, direct new product or service inquiries ensuring that they are promptly addressed. • Prepared marketing solutions to prospects and clients utilizing the entire suite of BNY Mellon products and services including –Capital Markets, Investor Services, Issuer Services, Execution Services, Asset Management, Capital Markets, Credit, Global Payments & Trade Finance, Global Markets. Managed the entire sales process by rigorous client targeting; preparation of marketing materials, pro-active calling, identifying and qualifying leads, working collaboratively with
  • 2. product sales teams to convert opportunities to mandates, documenting the sales process and results, and managing the process on behalf of the client. • Managed the summer intern program in 2011 & 2012, which included interviewing and hiring interns. Assigning projects, which would benefit both the intern and employees. Providing mid summer and end of summer performance reviews. • Managed the client credit approval process, including structuring the transactions and monitoring the client and portfolio credit risks. • Managed the administration of “KYC” (Know Your Customer) requirements for each client. • Managed and mitigated risks to the Bank. • Founding member of PRISM – BNY Mellon’s affinity group to promote an open and supportive environment for all lesbian, gay, bisexual and transgender (LGBT) employees. Associate Client Executive & Assistant Vice President - BNY Mellon, New York, NY (August 2007- November 2009) Was promoted to Assistant Vice President and transferred from the domestic banks group to the broker dealer group. In addition to providing portfolio assistance to Senior Client Executives, managed select client relationships. • Worked to establish myself as the primary and trusted contact of the client relationships, which I was assigned. • Gained knowledge on Broker Dealer specific products the Bank provided. • Participated in the credit approval process completing Stroble, the bank’s nine-month credit and accounting class. Associate Client Executive & Assistant Treasurer - BNY Mellon, New York, NY (May 2005-August 2007) Provided assistance to the Client Executive for their overall client portfolio; focusing specifically on domestic Banks • Prepared marketing materials used for client presentations • Wrote minutes of and managed any follow-ups arising out of client meetings. • Worked with product relationship managers across client relationships. • Gathered and prepared information for use in the client KYC process. • Gathered and prepared materials used in the credit approval process. Pricing/Risk Analyst- Royal Bank of Canada, NY (April 2003-May 2005) • Lead a five-person team responsible for pricing a book of 1,200 hedge funds (i.e, month end and mid-month performance estimates, month end capital account balance and fund size). • Produced risk reports for review by senior level management including Managing Directors and Bank Treasurer. • Approved on redemption and subscription transactions. Liaise with front office and Managing Director sign off. • Contributed to the design and enhancements (based on the ongoing team needs) of the in-house accounting system currently in use. • Assisted in design, test & implementation of new systems to meet with the Bank’s standing order Requirements • Performed and delegated ad-hoc requests for the front office Equity Fund Accountant, JPMorgan Chase, NY (October 2000 – April 2003) • Monitored daily cash flows for 40+ unit investment trusts (combined market value over $1 billion). • Responsible for daily letter of credit (LOC) (daily value $40 + million) • Responsible for the accurate calculation of the daily present values for each account. • Monitored domestic & foreign trades, as well as investigated failing trades and contacted broker to facilitate settlement. • Identified & reconciled discrepancies with equity custody systems & internal accounting database.
  • 3. • Responsible for preparing income distributions, termination of accounts, tax reporting and financial statements for annual reports. • Researched all corporate actions-ensuring accurate calculation execution of all mergers, acquisitions & spin-offs. EDUCATION State University of New York College at Oneonta BS, Business Economics - May 2000 Minors: Marketing and Finance