PROFESSIONAL EXPERIENCE:

Confidential, New York, New York

Responsibilities:

• Consult on accounting, treasury, operations, and information technology Manage Derivatives Accounting Department as Interim Controller Consult on Dodd Frank and Sarbanes Oxley internal control projects Perform audits in Confidential Inc., Trading and Operations Departments Develop business unit tax plans Develop and implement strategies to minimize tax liability and effective tax rate Design and implement internal controls for diversified derivatives product lines including currency, and interest rate derivatives, credit derivatives, swaps, capsfloors, fras, equity derivatives, futures, options, and hybrid derivatives Conduct audits of pension and custody operations in Trust Department Structure capital markets transactions for maximum tax benefit Perform treasury cash allocation procedures including daily funding of business units and departments Manage regulatory reporting and compliance projects
• Consult on information technology business analysis projects Prepare systems test use cases and develop data models using RUP and UML Review and revise general ledger account mapping for futures, options, and swaps Prepare Call Report, FOCUS Report, and related regulatory capital analyses Define and document user requirements for systems implementations Prepare tax accruals anddeferrals in accordance with FASB 109 Implement SOAR cash management system for derivatives products

Confidential, New York, New York

Responsibilities:

• Consult on accounting, treasury, operations, and management information systems for merger with Manufacturers Hanover Trust, and report recommendations to senior management Integrate Treasury Departments pursuant to merger Manage Fixed Income Securities Accounting Department as Interim Controller Prepare federal, state, and local tax returns Design and implement accounting, reporting, and operating controls in merged departments Perform Controllers Department business unit audits and examinations Resolve international tax issues Manage Securities Operations Department on consulting basis Conduct audits of capital markets business units Write and implement policies and procedures for merged departments Conduct tax research for planning, return preparation, and issue resolution Implement Stars financial reporting system for mortgage backed securities Review and revise general ledger mapping pursuant to merger Perform UAT and QAT procedures for Euroclear settlement system implementation Consult on systems integrations and IT business analysis methodologies

CONSULTANT - ACCOUNTING

Confidential, New York, New York

Responsibilities:

• Consult on Global Controllers Department assurance projects Manage treasury business process improvement projects Conduct audits of bank and securities brokerage business units Supervise professional staff Prepare international, federal, and state tax returns Devise treasury asset management procedures to maximize business units' daily return on investment (ROI) Consult on Internal Audit Department attestation projects Manage Derivatives Operations Department on interim basis Perform information technology audits of trading and operations systems Monitor and improve treasury short term financing process including use of financing instruments, and lending of securities Represent bank on periodic tax audits and examinations Implement derivatives accounting procedures in accordance with FASB 133 Write database queries using structured query language (SQL) Prepare profit and loss reports for financial futures and options trading Consult on systems implementations in Information Technology Department Implement treasury cash management procedures for equities trading Conduct research for international tax planning Perform IT control reviews of Vendome and GMI derivatives trading systems Resolve complex international taxation issues relating to capital markets activities Perform treasury procedures for gap analysis and interest rate management Interact with developers on architecture of securities settlement systems Consult on tax impact of international transfer pricing process Develop and execute treasury techniques to minimize cost of carry on cash and securities positions Determine estimated tax payments Interact with programmers and systems analysts on applications development Consult on Asset Redeployment Trading System conversion in LDC Department Design treasury cash management procedures for funding of trading positions Consult on tax reclamation process for cross border transactions Implement ATS loan trading system in Emerging Markets Department

Confidential, New York, New York

Responsibilities:

• Consult on regulatory reporting procedures including reserve requirementscompliance, and report preparation Audit New York Office capital markets activities and operations Prepare international, federal, state, and local tax returns Audit Loan Operations Department Develop and implement strategies to minimize tax liability Conduct information technology audits of proprietary systems Perform Trading Department audits Consult on accounting and reporting for taxation (FASB 109) Prepare Business Requirements Documents (BRD’s) for systems implementations Consult on IT business analysis projects Perform IT gap analysis procedures for treasury applications development

Confidential, New York, New York

ASSISTANT TREASURER, MANAGER-ACCOUNTING

Responsibilities:

• Managed treasury accounting, regulatory reporting, compliance, taxation, and internal control functions Directed treasury activities for cash management, interest rate management, and securities lending Supervised, trained and evaluated professional staff Devised, implemented and maintained accounting, reporting, and operating controls for diversified treasury product lines including equity, and fixed income securitiesmortgage backed securities, money market instruments, foreign exchange, and derivatives products Prepared international, federal, state, and local tax returns Developed and executed international banking tax strategies Researched and resolved complex international taxation issues Monitored all treasury trading and investment positions Implemented and maintained
• Devon reporting system for derivatives products Established treasury risk analysis procedures including limit controls and gap analysis Appointed audit liaison and coordinated staff efforts in complying with periodic audits and examinations Automated, streamlined and standardized, regulatory reporting and treasury accounting activities Coordinated monthly close and prepared budgeted financial statements Managed systems conversions for treasury, accounting, and securities operations Reviewed and authorized filing of all regulatory reports Wrote policies and procedures for accounting and operations Directed accounting, treasury support, and back office staff in resolving reconciling items in cash, and securities accounts Appointed project leader and managed project teams on a variety of accountingtreasury, and operations issues Interacted with traders on applying options pricing theory to unlisted index, currencyand interest rate options

Confidential, New York, New York

IN-CHARGE ACCOUNTANT

Responsibilities:

• Planned and supervised full-scale audit engagements in financial services industry Prepared audit programs and reviewed workpapers Supervised audits of international banks Consulted on business process improvement engagements Supervised audits of securities broker dealers and investment companies Consulted on IT business analysis engagements in Management Consulting Department Prepared international and federal tax returns for banks and securities brokerages Performed audits of initial public offerings of securities filed with SEC Audited clients' information technology systems Prepared management letters and SEC filings of 10-K, 10-Q, 11-K, and 8K reports Performed due-diligence procedures for mergers and acquisitions engagements Conducted research for tax planning and return preparation Prepared tax returns for investment partnerships and individuals Reviewed, documented and evaluated clients’ internal control systems Performed detailed compliance and substantive tests on clients’ money marketsecurities, and foreign exchange trading activities Audited securities brokerage FOCUS Reports

Confidential, New York, New York

ACCOUNTANT

Responsibilities:

• Prepared daily profit estimate for all subsidiaries Prepared federal, state, and local tax returns Interacted with auditors during periodic tax audits and examinations Prepared consolidated financial statements using Lotus 123 Liaised with external financial auditors and regulators Prepared monthly FOCUS Reports for SEC Computed estimated tax payments Involved in extensive special projects in Treasurers and Operations Divisions Interacted with treasury and operations personnel on performing daily settlement procedures with securities clearing houses (DTC and SCC) Prepared trading position reports for options, government securities, and mutual funds Appointed Acting Section Head of Mutual Funds Back Office

Confidential, New York, New York

JUNIOR ACCOUNTANT

Responsibilities:

• Performed audit, review and compilation engagements for diversified clientele Prepared federal and local tax returns for individuals, partnerships, and corporate clients Developed tax plans Conducted tax research Prepared financial statements Prepared adjusting and closing entries Maintained cash receipts and disbursements journals