1. Dave Carlton
Telephone 01277 849865 Mobile 07864 563542 Email davidcarlton596@yahoo.co.uk
Profile
A highlyskilled Financial Marketsprofessionalwithaproventrackrecord across a broad range of
assetclasses. Successfully managedReconciliation andCommercial Businessteams,managed
tradingbooks and have beenatthe forefrontof new innovationsinthe fixedincomemarket
includingbeingrecruitedasaSeniormemberof staff to grow the clientbase inthe GBP Government
BondMarket.
Professional qualifications
SecuritiesandDerivativesrepresentative
UK Financial Regulationunderthe Capital MarketsProgramme (runbyCISI).PassedMay2015.
Skills
A communicatorat all levelsof an organisation.UsingFrontOfficeknowledge toassistandco-
operate withsupportfunctions.
Personable andastrongpeople manager,mentoringandmotivatingteammembers.
Career History
2005 -2014
ICAPSecurities -SeniorGBPGovernmentBondRepurchase AgreementSalesandBrokering.
• Consistentlyachieved targetswhichwere reviewedonaquarterlybasis.
• BuiltandmaintainedrelationshipsbothprofessionallyandpersonallywithleadingBlue
Chipnamesand the largestliquidityproviders.
• Collaboratively workedaspartof a teamto ensure all clientshadthe bestpossible
service atall times.
• Undertookin house andon the job training when introducedonall sterlingproducts
(CDs,Cash,Repoand Swaps).Alsocompletedthe compliance andfinancialfraud online
coursesat ICAP.
• Ensuredpricingwhetherverbal orwrittenwasconsistentandtransparentandwas
submittedtothe WMBA on a dailybasis.
• Workedcloselywiththe compliance team,actively encouragingandpromotingConduct
and Culture change.

2. • In conjunctionwiththe FCA satinternal examsandattendedinterviewstoexamine
competence.
• Adheredto regulatoryrequirementstokeepbetterrecords.This dataalsohelpedus
improve ourdayto day business.
1995 -2005
PrebonYamane -ManagerGBP GovernmentBondRepurchase AgreementDesk.
• Recruited inSeptember1995 toset upa GiltRepodesk,readyforthe inceptionof the
marketinJanuary 1996.
• EstablishedPrebon asaprominentbrokerinthe market andwas at the forefrontof all
newinnovation.
• Liaisedcloselywiththe BOEto ensure asuccessful launchandcontinuedsuccessof the
market.
• AttendedtrainingonBOEMoneyMarket Operationsandhow the DMO functioned.
• PromotedCrossAssetbusinessdevelopmentwithinthe GBPbusinessarea.
• Attendedmeetingswithseniortradersof TreasuryDepts.at all the majorbanks.
• Setup proceduresforpricing, trade capture andtrade processing.
• Successfullymarketedthe service to20-30 banks inthe UK andinternationally.
• PromotedtoManager and Headof GBP Repurchase agreementbusinessin 2003.
Reportingdirectly toManagingDirectorof EMEA FixedIncome.
1993-1995
Garban International,Japanese andEmergingMarketWarrantsSalesandBrokering.
1990-1993
Williamsde Broe,YenWarrants. Relationship Management,Sales andBrokering.
1987-1990
LTCB International,EuroYenBondTrader
• TradedJGB’s and Euro Yenfrom London,liaisingwithTokyoHeadoffice.
• Seniormemberof the Eurobond Middle OfficeReconciliations team.
•
1981-1987 EurobondReconciliationsprofessionalwithinthe bankingindustry.