Senior Management Business Processes

Mr Sean Bell

** ****** ******, ****** *** *JY

Contact details: 074******** Email: ******@*******.***

Competencies:

Senior management professional with over 30 years experience and able to wear many hats, team Spirited individual who is Innovated and Knowledgeable on regulatory issues

Experienced of suspicious activity with expert knowledge of business processes, traded a vast array of trading products and development of FX trading platforms and business policies and procedures

Expert understanding of – PWM, Investment banking, MLRO, AML, CASS rules and segregated accounts of clients money, client account opening processing, compliance risk, monitoring, surveillance of business processes and regulatory rules.

Influencing – persuading and able to get my point across to staff, senior management and stakeholders across all business lines

First class strategy planning and organisational skills with hands on strategic/commercial awareness and business acumen having setup and successfully ran over many years then sold my own business.

Employment History

Agile Trade Group Ltd

(January 2023 – until present)

Currency and Gold, trading of Corporate and HNWI managed accounts and two FCA regulated offshore funds.(Marshall Islands business) clients are mainly Asian, Australian and European Corporations and HNWIs who are looking for someone to manage their money .

Citi Bank Belfast

Senior VP Compliance and Operations manager

(September 2022 until Dec 2022)

Running a new business line for Citibank of 24 direct reports in Belfast and four in Poland with Institutional, Government, UHNWI and Central Bank clients globally

Updating clients records and risk permissions (from H,M and L risk categories) streamlining the business unit, staff appraisals, recruitment and staff training while using many in-house compliance systems

My current role is to identify actions required for Citi to fix after inspections’ from internal and regulatory Auditors

Review and personally deal with clients complaints dealing with procedural weakness/failure and or internal controls of the business and other business units

Monitor the risk, AML and counter terrorism to the business from counterparty clients while performing due diligence on a ad-hoc basis. Monitoring operational risks

In-charge of both the business and clients risk and regulatory obligations, covering but not limited to AML, Policies relating to the business area

This department will grow to double the current size this time next year due to the way financial companies in todays markets have to be totally compliant and having someone who understands both the trading, global products, trading systems and best placed to see the pitfalls and the bigger picture

Bellavue Group Ltd, London

CEO, Compliance manager

(January 2018 – September 2022)

•Designed our own FX trading system’s to achieve double digit yearly growth, targeting 2% to 6%+ per month

•overseeing Compliance for the whole business from a risk/trading view point covering areas such as financial crime, AML, conducting staff's compliance training and reviews every quarter

Coordinating and performing risk-based monitoring reviews and looking for any gaps in the businesses internal/external procedures. Drafting and reviewing compliance policies, external marketing including the compliance manual and AML Policy overview for the business, review of all marketing materials and phone conversations of sales staff; hands on experience of KYC and AML

Able to Implement workable solutions to problems I find or that have been identified by senior management or internal/external auditors

Able to work with external group’s and other departments well form both a business case and a compliance stance

Consultant/freelancer

2015 – Dec 2017

BAM Capital, London

Managing Director

(September 2009 – January 2015)

•Having sold this business to one of our clients I retained the FX wealth management side of the company and launched Bellavue Group Ltd

•Hands on compliance experience of money laundering, business risk, management of the business from setup, making sure that staff were regularly compliance tested and that all staff adhered to the FCA rules and company internal rules at all times.

•Responsibility for trading systems, trading risk and controls of the business, dealing directly with the partnership’s and white label customer’s and making sure the AML/KYC guidelines are adhered to.

Bell La Marco, London

Director of Business and Head of Compliance

(August 2007 – September 2009)

•I did a two week contract with (City Index) (09/01/2008 – 23/01/2008) setting up their Compliance system’s to be later outsourced and bringing in to the business a full suite of FX trading platforms and liquidity providers

•BLM was my own start-up business which introduced clients to brokers and I was responsible for Compliance of this business and staffs business development

•Typical clients were retail, HNWI clients and those looking to utilize our white-labelling offering, I was responsible for compliance of all staff and business development.

Saxo Bank London/Denmark

Head of PWM

(July 2006 – June 2007)

•Saxo Bank was then the benchmark for online trading globally and I was given the opportunity to build out their new private wealth management business looking after their top 2% of the banks customer base

•I proactively developed and created the internal CRM system and trained staff on investment products and cross selling to potential clients both new and old and retaining clients business

•Implemented sales training and customer/market understanding, my department made 23% of the banks global profits during this period and my team doubled with another office in Denmark due to the success of my division

FSW Securities AS, Berlin

Head of equities sales

(March 2002 – January 2006)

•Dealing with retail and HNWI clients globally for a BAFIN regulated business that carried out FX and Equities sales product's

•Management of all sales and trading of the business, point of contact for client issues as well has over seeing the KYC and client applications to the business

• Monitoring the sales process for all staff phone calls sales and review of financial promotions, representation to the board from a business stand point, ensuring full systems and controls are in place for the business and as a former trader this is an area that I excel in

Schroders Salomon Smith Barney (Citi Group)

VP Connectivity Program Trading

(May 2000 – February 2002)

•Worked with in the program trading and IT side of the business with trading and ensuring the Connectivity between the bank and clients was secure and tested before allowing clients to connect to our system’s

• Trading of Institutional clients from all over the globe connecting to SSMSB electronically for best matches and prices while we monitored their trade flow and the order matching process for best execution

•Opened the Connectivity Program Trading Desk for Ireland and Barcelona and implemented the same robust systematic procedures as the London and NY offices on a role out basis for the bank, bringing together the trading systems for SSSB around the globe and managed from the London office

•Due to my experience and knowledge of technology, I was “point man" between the business, corporate client's and the IT systems departments for all trading and technology matters

MEB Management

Trading floor manager Denmark

(May 1993 – May 2000)

•I took the opportunity to travel and work in Denmark for a family office and quickly became the head of the desk because of my sales numbers and I managed the firms most profitable client accounts and developed the business sales pitch while also training all staff.

•Assessing staff over the weekly sales and business meetings which I implemented and held one-to-one sales development meetings, Designed the company’s business plan, implemented a realistic sales bonus for the sales team and streamed their overheads to make a more profitable business

Tradition UK, London

Trainee Forex Dealer

(May 1992 – December 1992)

•Board boy and learning the business from the very bottom but quickly moved up into a position as a broker due to my flair for numbers and ability to learn quickly before moving with a team to Denmark

Hobbies & Interests

I am involved in a local amateur football team (I was on the books of Chelsea FC and Arsenal FC in my youth) were I give my time over the weekend’s supporting the young team and covering training sessions. I also enjoy travelling, reading and classic cars while continuing to grow my watch collection

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