Paul McKenney
Vienna,VA
Summary
Accomplished and motivated executive with a successful career history in business operations related to financial audit trails. Offering exceptional leadership and staff development skills, proven to build trust and communicate effectively across all organizational levels and with key stakeholders. Coordinated with executives to initiate and execute strategic business plans that achieve key objectives.
Overview
31
31
years of professional experience
Work History
Vice President, FINRA CAT Business
FINRA CAT, LLC
Rockville, MD
06.2021 - Current
- Led Business Office to ensure compliance with all business contract obligations under CAT Plan Processor Agreement.
- Oversaw FINRA CAT Help Desk, addressing over 2,500 monthly inquiries from industry and regulatory stakeholders.
- Developed comprehensive Industry Member Technical Reporting Specifications and maintained a 500+ page reporting scenarios document.
- Managed external communications regarding system outages and processing delays affecting data submission.
- Coordinated industry engagement through hosting events and maintaining catnmsplan.com content.
- Implemented strategic plans to align operations with company objectives and improve service delivery.
- Enhanced customer service processes while upholding quality assurance standards across operations.
- Collaborated with cross-functional teams to identify challenges and streamline operational workflows.
Senior Director, Business Operations
FINRA CAT, LLC
Rockville, MD
04.2019 - 06.2021
- Stood up FINRA CAT Business Operations and Helpdesk teams
- Directed the registration, certification and onboarding of over 1200 firms
- Provided strategic direction for the development of the www.catnmsplan.com website
Director, Order Audit Trail System ("OATS")
FINRA Market Regulation
Rockville, MD
10.2014 - 04.2019
- Represented FINRA in the consortium of national securities exchanges and associations in the development of the CAT NMS Plan
- Directed the daily business operations of FINRA's Order Audit Trail System
- Led cross-functional teams in the development of innovative solutions to complex problems.
- Directed FINRA's OATS Compliance Program leading to high compliance rates
- Formed and sustained collaborative relationships with industry stakeholders
Associate Director, OATS
FINRA, Market Regulation
Rockville, MD
02.2007 - 10.2014
- Provide operational support, training, and guidance for strict compliance with OATS Rules.
- Lead a team of analysts to ensure compliance with the OATS Rules
- Implement OATS guidance related to new security classes
Team Leader
NASD, Market Regulation
Rockville, MD
01.2000 - 02.2007
- Optimized group productivity by delegating daily tasks among team members.
- Ensured adherence to legal and regulatory requirements across all team activities.
- Evaluated individual team member progress through regular performance reviews.
- Distributed tasks and assigned projects aligned with each member's expertise.
Director, International Affairs
Yonok University
Lampang, Thailand
05.1994 - 05.1998
- Developed all English language correspondence for the University President's Office
- Developed student and teacher exchange programs with other international universities
- Recruited and hired English language curriculum professors
Education
MBA -
Marymount University
Arlington, VA05-2006
Bachelor of Arts - English
Loyola University, Maryland
Baltimore, MD05-1993
Skills
- Regulatory standards adherence
- Project coordination
- Analytical skills development
- Reporting analysis
- Engagement with stakeholders
- Customer service relations
- Team leadership abilities
- Communication proficiency
Affiliations
- Serve as a Board Member of the American Thai Foundation advising on its mission to support education, health, and public and civic affairs in Thailand and to empower underprivileged Thais and future leaders through education.
Timeline
Vice President, FINRA CAT Business
FINRA CAT, LLC
06.2021 - Current
Senior Director, Business Operations
FINRA CAT, LLC
04.2019 - 06.2021
Director, Order Audit Trail System ("OATS")
FINRA Market Regulation
10.2014 - 04.2019
Associate Director, OATS
FINRA, Market Regulation
02.2007 - 10.2014
Team Leader
NASD, Market Regulation
01.2000 - 02.2007
Director, International Affairs
Yonok University
05.1994 - 05.1998
MBA -
Marymount University
Bachelor of Arts - English
Loyola University, Maryland
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