KATHLEEN NEALON
Summary
Resourceful and motivated with diverse experience in business development, marketing, operations management, SEC compliance, and community enrichment with a focus in the financial services industry and technology sectors include a Master of Business Administration Degree in Finance. Motivated Director of Partnerships serving as senior leader of corporate community partnerships team. Cultivated team dedicated to researching and developing effective community-oriented programs and practices. Developed new connections and refined current relationships with key partners at home and abroad.
Overview
31
31
years of professional experience
Work History
Director of Partnerships
KONECT TECH LLC
11.2021 - Current
- With over two years of experience as the Director of Partnerships at Tech Up For Women and Blockchain Events Group, I am passionate about educating and initiating growth and advancement for women through technology
- I leverage my background in finance, trading, business development, and compliance to create and manage strategic partnerships with leading organizations, sponsors, speakers, and media outlets in the rapidly changing technology sectors
- As a co-founder of Blockchain Events Group, I also organize and host quality conferences, webinars, and digital resources that showcase the latest trends, innovations, and opportunities in blockchain, crypto, Web3, fintech, and other emerging technologies
- Exceling in customer relationship management, communication, and negotiation, and provide value, insights, and connections to our members and community
- I am driven by the mission of Tech Up For Women and Blockchain Events Group to engage women to achieve their professional and personal goals through technology and community.
COMMUNITY ENRICHMENT VOLUNTEER
Westport, CT
09.2004 - Current
- Banquet Chair, Staples High School Football Gridiron Club; Fundraising Chair, Staples High School Mens Lacrosse; Fundraising Gala, Beach Side Soccer Academy; President, Long Lots PTA and Executive Board Member; Board Member, A Child's Place Preschool; Working Member, Near and Far Aid Organization; Team Manager, Westport Soccer Association
COVID SABATICAL
Westport, CT
06.2020 - 11.2021
- Prepared, marketed and sold our family home of 10 years and acquired a new residence for our family of six
- Was the main caregiver during the pandemic for those in my family and extended family
- All are well and back to their respective universities and routines
- I am fully vaccinated and eager to return to a full time position either in person, remotely or a hybrid.
Assistant to CEO, CCO of US
ASCENT CAPITAL ADVISORS LLC
Westport, CT
11.2016 - 05.2020
- Managed the compliance month end process of preparing FINRA related documents and attestations signed by the appropriate registered representatives
- Uploaded and confirmed electronic filing in our online storage system
- Prepared monthly summary of expenses, revenues for the firms accounting team
- Ensured all numbers reconciled and are recorded properly in QuickBooks
- Maintained the US client register ensuring proper KYC, AML and deal related transaction documents on all clients have been received and appropriately filed electronically
- Reviewed all necessary SEC documents required for proper closing of Ascent Capital Advisers private placements
- Managed the annual external compliance audit ensuring auditors had required review documents for Ascent Capital Advisers annual compliance and US financial audits
- Implemented suggested process changes from the auditors to confirm all standards are achieved with documentation and security measures.
Principal
EVEREST CAPITAL MANAGEMENT
Hamilton, Bermuda
06.1998 - 05.2003
- Senior trader for a large global hedge fund with $2 billion in assets comprised of international equities, emerging market fixed income, investment grade, high yield and distressed debt, fixed income derivatives, convertible bonds, etc.
Institutional Equity Sales Trader
ALEX. BROWN INC.
Baltimore, MD
03.1996 - 11.1997
- Developed and communicated with large institutional accounts to cultivate relationships and manage revenue growth strategies for the client as well as our firms financial exposure.
NYSE Equity Position Assistant Trader
ALEX. BROWN INC.
Baltimore, MD
06.1994 - 03.1996
- Made sizable markets in 50 stocks within the oil and gas, transportation, technology, financial, and environmental sectors
- Directed floor brokers to facilitate customer and proprietary trades
- Collaborated with NYSE specialists regularly to develop relationships between our firm and the specialist firms
- Discussed regulations and strategies for better executions and service.
Equity Sales Trader, Retail Division
ALEX. BROWN INC.
Baltimore, MD
01.1993 - 06.1994
- Designated OTC trader for retail division of brokers
- Advised and recommended equity strategies based on current and forecasted economic and market conditions
- Interpreted fundamental and technical analysis for industry sectors, as well as individual stocks.
Education
Master of Business Administration in Finance -
University of Baltimore
01.1995
Bachelor of Science in Finance -
University of Baltimore
01.1992
Skills
- Strategic Planning
- Sales/Marketing
- Market, Industry, Economic Analysis
- Communications
- Fundraising/Event Planning
- Operations Management
- Community Involvement
- Educational Leadership
- Real Estate – construction management
- Partnership Development
- Salesforce CRM Software
- Training and Onboarding
- Relationship Building
Timeline
Director of Partnerships
KONECT TECH LLC
11.2021 - Current
COVID SABATICAL
06.2020 - 11.2021
Assistant to CEO, CCO of US
ASCENT CAPITAL ADVISORS LLC
11.2016 - 05.2020
COMMUNITY ENRICHMENT VOLUNTEER
09.2004 - Current
Principal
EVEREST CAPITAL MANAGEMENT
06.1998 - 05.2003
Institutional Equity Sales Trader
ALEX. BROWN INC.
03.1996 - 11.1997
NYSE Equity Position Assistant Trader
ALEX. BROWN INC.
06.1994 - 03.1996
Equity Sales Trader, Retail Division
ALEX. BROWN INC.
01.1993 - 06.1994
Master of Business Administration in Finance -
University of Baltimore
Bachelor of Science in Finance -
University of Baltimore
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