Securities Division, Vice President, Municipal and Money Market Compliance @ (September 2007 - January 2009)
Director, Compliance Municipal Securities Group @ (April 2005 - September 2007)
Senior Data Analyst @ MSRB (December 1996 - October 2004)
Research Assistant @ JJ Kenny (January 1995 - January 1996)
John Baughman Education
The Johns Hopkins University - Carey Business School
MBA
2000-2003
University of Southern California
BA (History)
1986-1990
WIlliam Penn Charter School 1982-1986
John Baughman Skills
Strategic Planning
FINRA
Change Management
Fixed Income
Preferred Stock Issuance
Commodity Futures
NFA/CFTC Regulation
LME Products
RINs Transactions
Bankruptcy Debt/Equity Conversions
Investment Bank Control Room
Intralinks/Data Room Issues
Asset Backed Securities
RMBS/CMBS Trading
New Account Opening
Anti Money Laundering
Auditing/Testing Procedures
Written Supervisory Procedures
System Development
Investments
ABS
Bloomberg
Capital Markets
Derivatives
Dodd Frank Protocol
Electronic Trading
Foreign Exchange
Foreign Exchange Transactions
Hedge Funds
Investment Banking
Microsoft Word
Securities
Series 63
Series 7
Structured Products
Swap Proficiency (Long Track)
Trading
Business Strategy
Information Security
Microsoft Office
John Baughman Summary
John Baughman, based in Bellevue, WA, US, is currently a Sales Development Manager at New York Life Insurance Company. John Baughman brings experience from previous roles at Houlihan Lokey, BTIG, Goldman Sachs and UBS. John Baughman holds a 2000 - 2003 MBA @ The Johns Hopkins University - Carey Business School. With a robust skill set that includes Strategic Planning, FINRA, Change Management, Fixed Income, Preferred Stock Issuance and more. John Baughman has 4 emails and 2 mobile phone numbers on RocketReach.
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