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Associate Director Resume

Weehawken, NJ

SUMMARY:

  • Responsibilities have included all accounting functions, Confidential FR Y - 14M, FR Y-9C, FR Y-14Q & FR Y-14A rules validations, month end close and monthly financial reporting, performing monthly and year end reconciliations and working with outside auditors, FINOP for Self-Clearing Firms, and preparing and submitting regulatory report filings for Confidential report 17A-5, Confidential 15C3-1, 15C3-3), Solid Federal Reserve Bank reporting: FR2004 (Schedule A,B,C, SI, WI), TIC Reports, Solid knowledge of treasury, investment banking, capital markets, credit risk, reporting, accounting, finance and taxation. Extended knowledge of systems/trade flows, as well as interpreting written resource literature including FASB releases, Confidential, Confidential rules and regulations including: Basel I, II, III, AML, KYC, SOX, credit & market risk, and liquidity management.
  • Solid product knowledge of Swaps, Derivatives, Equities, Debts, Loans, Rates & FX, Excellent analytical skills, proven leadership experience and a team player.
  • Solid Knowledge of Finance, Accounting and Taxation, extended knowledge and education of systems/trade flows, as well as interpreting written resource literature including FASB releases, Confidential, FINRA & FRB rules and regulations.
  • Excellent PC skills: Comprehensive proficiency in the use of Microsoft Office, particularly Excel, Axiom, BI Tools, Informatica, Open System Accounting Software, ADP/SIS Securities Software, Insight, Vision, BOSS, FBSI, EssBase, Monarch Report Mining, Foxtrot, Commission Manager (Xtiva), Lotus 123, Word, Database, PowerPoint, Access, Solomon, AS 400, SAP, and QuickBooks.
  • Solid management, communication, presentation & organization skills.
  • Ability to grasp and evaluate ideas quickly and to communicate clearly, and effectively manage a small/large team of professionals.
  • Proven leadership skills with a capacity to work independently, strong analytical skills and the ability to meet strict reporting deadlines.
  • Extensive knowledge and experience of both Corporate and Individual Tax compliance.
  • Fluent in Arabic, conversational in Spanish and basic Greek.uest.

PROFESSIONAL EXPERIENCE:

Confidential, Weehawken, NJ

Associate Director

Responsibilities:

  • Track completion status, report status to relevant management committees, identify and escalate risks and issues across all Confidential Work streams for all reports and rules validations.
  • Compile various documents in appropriate presentation package as required by senior management for review.
  • High level content and stylistic review (e.g., ensure appropriate templates are used).
  • Notify Confidential work streams of document upload in the BI Tools.
  • Coordinate (schedule, conduct and follow up) review and challenge sessions of individual components of capital planning across the governance hierarchy of the IHC.
  • Coordinate activities with multiple teams to ensure smooth execution of review and challenge components within capital planning.
  • Assist in documentation of review and challenge process, and insuring Financial and Technical SOP's are up to-date.
  • Effectively collaborate across a wide variety of teams within Risk, Finance, and the businesses.
  • Partner with Technology in designing and implementing automation solutions.

Confidential, Nashville, TN

Associate Director

Responsibilities:

  • Preparation of the weekly and monthly Confidential 15c3-3 Customer Reserve Formula ( Confidential client money protection).
  • Preparation of the Operational Page 2 for the monthly Confidential report to be filed with the US regulators. This involves working closely with the many different operational areas within Confidential LLC to compile the required identifiable items and the corresponding capital charges associated with each.
  • Preparation of monthly capital charges that support the monthly Confidential filing including securities borrow/loans, currency, aged broker and customer fails.
  • Ensuring policies and procedures are current related to the Confidential 15c3-1 Net Capital computations.
  • Responsible for the preparation of the weekly FR2004 (Schedule A,B,C, SI, WI) primary dealer reporting to the Federal Reserve Bank.
  • Responsible for the preparation of the Monthly & Quarterly TIC S1, S2, TIC B, BL1 & BL2, BQ1, BQ1, BQ3, TIC D to the Federal Reserve Bank
  • Responsible for supporting the annual Confidential FinOp exams and periodic Confidential exams.
  • Additional responsibilities and ad hoc work as the US Regulatory landscape continues to evolve.
  • Preparation and submission of the 17-H report to the Confidential and Confidential . This entails compilation and organization of data related to risk assessment for Confidential LLC and its affiliates.
  • R-1 reporting of customer margin debits/credits to Confidential on a monthly basis.
  • Portfolio Margin reporting of the firms PM accounts to Confidential on a weekly basis.

Confidential

FINANCIAL & COMPLIANCE CONSULTANT

Responsibilities:

  • Manage and supervise all financial accounting, balance sheet, controlling, Confidential & regulatory reporting activities, direct the overall financial activities of the firms.
  • Handle net capital requirements, expense and revenue flows, strategize with senior management to grow the firm by maximizing capital, deal with regulators and auditors, handle all compliance issues and regulatory compliance
  • Manage and coordinate finance, liaise with regulators, exchanges and trading counterparties, ensure compliance with all group policies, rules and regulations, remodel, restructure and streamline processes across the group, strategic business planning.
  • Analyze existing portfolio and products offered, by evaluating and assessing current market environment, coach subordinates, monitor their performance, provide appropriate feedback and initiate corrective action. Implement and ensure compliance with the company's financial and accounting policies and procedures.

Confidential, New York, NY

CONTROLLER, FINANCIAL & OPERATION PRINCIPAL

Responsibilities:

  • Prepare budgets, monthly accounts, management reports, comparison with budget and commentary on performance
  • Prepare annual consolidated financial statements, working capital management and preparation of monthly and annual cash flows
  • Produce accurate and timely financial information as required by management and regulators
  • Ensure compliance and the application of internal controls procedures while meeting Confidential requirements.
  • Handle all compliance issues and regulatory compliance and filing of Confidential reports
  • Manage and coordinate finance, administration and IT functions, Tax and Audit preparation, liaise with regulators, exchanges and trading counterparties
  • Ensure compliance with all group policies, rules and regulations, remodel, restructure and streamline processes across the group, strategic business planning
  • Analyze the existing portfolio and products offered, by evaluating and assessing current market environment.
  • Coach subordinates, monitor their performance, provide appropriate feedback and initiate corrective action.

Confidential, Boston, MA

ASSISTANT VICE PRESIDENT OF FINANCE

Responsibilities:

  • Coordinate month-end close process, review end of day funding requirements, release wires if needed
  • Review work of accounting staff for reconciling balance sheet and income statement accounts in accordance with Confidential and Corporate Accounting Policies
  • Special projects coordination and implementation. Perform specific accounting duties until staff can be trained, Confidential report 15c3-3 and 15c3-1 calculations
  • Weekly reserve requirement calculation. Pershing receivable balance, reconcile P&L to operations, trading interest income/expense accruals, attend new product meetings for accounting and general ledger set-up in place of Controller as needed
  • Review daily cash reconciliations and approve required journal entries, FAS 157 and prepare year-end financial statements.
  • Manage all reporting packages from Bank ( ie: Tax, 17H, etc.). Work with staff to answer questions, solve problems, and maintain workflow when staff is out on vacation/sick time.
  • Evaluate staff members for compensation/promotions, responsible for regulatory rule updates including identifying changes needed to existing processes and working to implement those changes.
  • Liaison with independent audit team, and responsible for a variety of activities related to the Firm's financial reporting and controls. Update accounting procedure and manual according to the expanding business.

Confidential, Alamo, CA

CFO / FINANCIAL AND OPERATION PRINCIPAL

Responsibilities:

  • Financial Controller, Regulatory reporting, Confidential Report preparation (17A-5), calculation of capital charges ( Confidential Rule 15c3-1).
  • Prepare the monthly payouts for all Brokers/Dealer, Prepare general ledger entries, and monthly closing entries, Review accounts payable.
  • Review and examine accounting reconciliation for all G/L accounts (Internal Audit). Prepare Monthly & Quarterly un-audited Financial Condition.
  • Review and prepare documents and forms for state, federal tax correspondence.
  • Act as the primary contact for financial requests from the various regulatory agencies, including the Confidential, Confidential, and NFA.
  • Monitor the examination process to ensure answers to questions are provided in a timely manner and track issues raised by the examiners.
  • Responsible for regulatory rule updates including identifying changes needed to existing processes and working to implement those changes.
  • Liaison with independent audit team, and responsible for a variety of activities related to the Firm's financial reporting and controls.

Confidential, CA

FINANCIAL & OPERATION PRINCIPAL / Consultant

Responsibilities:

  • Regulatory reporting - computation of the weekly & month-end reserve formulas ( Confidential Rule 15c3-3), calculation of capital charges ( Confidential Rule 15c3-1), month-end Balance Sheet closing entries and Confidential Report preparation (17A-5).
  • File the monthly short interest report, Prepare the monthly payouts for all Brokers/Dealer.
  • Prepare general ledger entries, and monthly closing entries, Review accounts payable, Review and examine accounting reconciliation for all G/L accounts (Internal Audit).
  • Prepare Monthly & Quarterly un-audited Financial Condition, Review and prepare documents and forms for state, federal tax correspondence.
  • Liaison with the Confidential and liaison with independent audit team, and responsible for a variety of activities related to the Firm's financial reporting and controls.

Confidential, San Francisco, CA

REGULATORY REPORTING FINANCIAL MANAGER

Responsibilities:

  • Regulatory reporting - computation of the weekly & month-end reserve formulas ( Confidential Rule 15c3-3), calculation of capital charges ( Confidential Rule 15c3-1), month-end Balance Sheet closing entries and Confidential Report preparation (17A-5).
  • File the monthly short interest report, Prepare the monthly payouts for all contract Traders, and commission payouts review for all other brokers.
  • Review and examine accounting reconciliation for all G/L accounts (Internal Audit). Monthly stock borrows confirmation, Prepare Quarterly and un-audited Financial Condition.
  • Act as the primary contact for financial requests from the various regulatory agencies, including the Confidential, NYSE, Confidential, and NFA,.
  • Monitor the examination process to ensure answers to questions are provided in a timely manner and track issues raised by the examiners.
  • Review and prepares documents or forms for state, federal tax correspondence, Liaison with the PWC audit, and Special projects and assist with various day-to-day issues.

Confidential, New York, NY

FINANCIAL CONTROLLER

Responsibilities:

  • Regulatory reporting - Prepare Confidential reporting, 15c3-1 net capital computation, prepare haircuts and other regulatory capital deduction schedules, and managing capital.
  • Responsible for corporate tax filing of all Federal and Multi-State taxes.
  • Monitor the firm's currency exposure, Responsible for payroll including broker payouts, employee benefits administration, and office administration.
  • Responsible for the timely and accurate posting & reporting of all financial data and for providing financial reports required by Company management and regulatory and rating agencies.
  • Liaison with all auditors, and outside vendors, handle Special projects and assist with various day-to-day issues.

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