SUMMARY:

• Proactive, results driven, professional with extensive experience in financial planning, modeling and sales profitability analysis.
• Experienced in the design and implementation of management tools, enabling Sr. Management strategic decisions related to product diversification and market penetration.
• Demonstrated ability to extract, compile and interpret complex data to create management dashboard reporting.
• Proven track record in driving innovation and streamlining sales transactional processes and engaging cross - functional team interactions to deliver targeted results.

TECHNICAL SKILLS

• Financial Planning & Management
• Budget and Forecast models
• C.P.A.
• FINRA Series 7
• Project Management
• Business analytics & Performance metrics
• Staff Management & Development
• Applications Development
• Organizational Planning
• Vendor Management
• Strategic Planning
• FINRA Series 27

PROFESSIONAL EXPERIENCE:

Confidential

Finance Manager

Responsibilities:

• Primarily responsible for analytical and functional Sales Financial Planning, Reporting and Analysis solutions to Sales, Relationship Managers, Finance Counterparts and Business Management for Commodities, FX, Futures, Fixed Income and Equities businesses across the Americas.
• Lead Project Manager in New York for the design and development of a New Sales Reporting Finance dashboard with global reach and responsibilities enabling 100% effective reporting rate.
• Collaborated in creating a Firm-wide Customer Relationship Management system across all lines of business to assess an overall client exposure, delivered to the Commercial Banking business to align proper RM coverage.
• Comprehensive review with the Compliance Department of all Derivative Transactions in relation with Dodd-Frank/Volcker Regulation on a daily and monthly basis, highlighting all trading activity in excess of proportionate revenue trends, enabled creation of heat maps for credit line exposure by client.
• Responsible for leading the America’s Sales Client Volcker Metrics, establishing 30 day moving client facing ratio trends by asset class.
• Proactively created Sales Margin Trend reporting in relation to Volumes traded and RWA management with our CCAR Finance Teams to project revenue growth and retraction.
• Directed two IT staff consultants responsible for implementing enhancements to our Customer Relationship Management system and ensured all projected goals were executed on time and within budget.
• Supervised two offshore Finance representatives, developed, trained and transitioned standardize reporting to maximize and allocate quality time and accurate reporting to assist the business in meeting sales goals.
• Monitored daily transactional activity to ensure compliance with federal regulatory standards.
• Created Analytical tools that support the Sales MI Team, identifying opportunities to improve the data quality of all Trade feeds which minimized occurrence of errors and timeliness to take corrective action by 100%
• Created synergy with other Finance Product Control Teams in terms of the checks and balances of all trade data.
• Championed strong communication with all Sales and Trading desks regarding accuracy of the trade data and the relationship to financial reporting teams.
• Strong collaboration with other business areas, fostering global communication with other various Finance Teams
• Adhered to both the letter and spirit of the all laws, regulations and regulatory guidance, that apply to Sales client confidentiality.
• Expert in Excel as well as Word, PowerPoint, Access, Cognos, SQL, QlikView, Hyperion Essbase and TM1.
• Managed real-time pricing models through Bloomberg, Impact, Summit, Global Calypso, Market / Swaps Wire.

Confidential

Consultant/Planning and Analysis

• Provided consultative services to organizations for business operations development to assist sales leaders in making sound and timely business decisions.
• Provide measurement of results to optimize performance, align sales strategy to achieve the greatest opportunities in the most cost-effective ways through the following methods; business management, revenue recognition, financial and management report preparation, business analytics and sales metrics, breakeven analysis and sales quota, compensation and policy as well as implementation, strategy and design of CRM systems.
• Fluent in SAP Business Objects/Crystal Reports, and SAP Finance Modules.

Confidential

Finance-Consultant / Project Manager

• Provide strategy and implementation of new methodology and process improvement action plans to meet firm goals.
• Project lead on introducing new expense allocation methodology to provide accurate profitability across all business units and increased Management Reporting of over $18,500,000 of expenses to provide cost recovery analysis.
• Coordinated IT transition of Braver Stern employee merger with CRT Trading Desk Applications.
• Audited transactional flow on trade capture and processing clearing system change from Pershing to Broadridge Impact
• Provided a comprehensive study of possible payout fraud within the Emerging Market and Securitized Product trading
• groups, re - aligning transaction flow reporting to improve internal control as well as adjusting sales compensation payout by $300,000 annualized savings for greater profitability.
• Assisted with the Year End Audit, performed Balance Sheet stress testing on Goodwill Valuation using Fair and Market Value approaches.
• Expert in Microsoft Excel as well as proficient in all Microsoft Office Applications.

Confidential

Business Manager / Product Controller

• Recruited to Define strategy and implement Sales Reporting platforms for a newly created fast expanding Fixed Income Sales and Trading Business, as well as providing Product Control P & L responsibilities within the Finance team to report daily trading activity. Responsible for all Sales cost, controls and expenses.
• Full and Independent responsibility of reporting Sales P & L, identifying clients and business sectors, maintenance customer account lists, overseeing CIP for AML/KYC process and deliver metrics on a regular basis.
• Responsible for reporting Cash Management and Risk/Non - Risk Trading Profit/Loss on a Daily basis.
• Assisted in reporting of Risk Management of Securitized Product Inventory and pricing each Trader s book vs.
• independent market sources per ASC 815 and ASC 820.
• Selected to lead the organization s Sales and Trading Compensation process.
• Managed Financial Statement Preparation, Analyzed Balance Sheets, Profit/Loss, Cash flows and budget variances.
• Ensured compliance with GAAP and internal control procedures.
• Supported corporate strategic planning efforts through forecasting.
• Discounted cash flow analyses, net interest margin and funding on PCS/Retail business.

Confidential

Sr. Business Unit Controller & Business Manager

• Spearheaded the development, design, implementation and management of a Customer Relationship Management performance based system across all product lines. Increased operating and reporting efficiency 100%, streamlining sales performance from a settlement to a real-time trade date basis.
• Managed $1.6 billion in annual sales revenue for all Fixed Income Product Groups by respective account relationship with current and historical transactional data.
• Led and administered full and independent responsibility for maintaining consistency between front and back office databases across all sales and trading application systems, ensured accountability and internal controls were adhered to.
• Performed strategic analysis of revenues trends, bench-marking prior year product and industry sales vs. current enabling, Sr. Sales Management to determine underperforming business sectors, formulate a plan for growth and increased market share.
• Managed the month-end/year-end close of the Fixed Income Sales Global Consolidated P&L. Assisted Operational management to resolve trade variances and expedite processing.
• Responsible for the preparation and analysis of all financial budgets and revenue forecast.
• Comprehensive and pivotal role in re-aligning Compensation from a plateau performance based, to a discretionary based payout process. Compensation to Net Revenues decreased from 52% to 43%, net cost recovery resulted in a savings over 3 years of $51 million.
• Administration of Employee Deferred Compensation plans in excess of $250,000, determining plateaus for RSU’s, Stock Option Grants as well as all Guaranteed Contract Payouts globally.
• Monitored, with the Compliance Department, daily trading activity ensuring all transactions met with regulatory requirements as mandated by FINRA.
• Single point of contact for implementation of AML/KYC policy/issues and administered documentation within New account setup as well as existing relationships, ensuring data integrity within the Global Sales force.
• Simplified all customer driven Fixed Income execution initiated through ecommerce trading platforms by implementing a direct feed into FI Operations, improving trade processing flow and sales assistant utilization by 25%.
• Directed two IT staff consultants responsible for implementing enhancements to our Customer Relationship Management system and ensured all projected goals were executed on time and within budget.
• Collaborated in creating a Firm-wide Customer Relationship Management system across all lines of business to assess an overall client exposure, delivered to the Management Committee.
• Established and implemented new controls by approving all post-settlement trade adjustments in excess of $50,000, communicated daily activity with the Controllers Group and Trading Operations to resolve trade variances.
• Integrated vendor report writing packages (Cognos Impromptu, Hyperion Essbase) to design and deliver effective management reporting.
• Analysis of annual imputed clearance/ticket charges resulted in improved profitability by reducing expenditures by $10 Million annually.
• Reduced research department fixed allocations by implementation of execution metrics across all product lines based on performance resulting in savings of $15 million annually.
• Instituted breakeven analysis of all Fixed Income products to forecast preliminary earnings estimates for each specialist sales desk.
• Re-assignment of customer accounts to salesmen to better align regional sales coverage

Confidential

Sr. Accountant

• Consulted with Internal Audit and our external auditors during the annual year end closing process.
• Responsible for restructuring the General Ledger System. This included automating the Broker Dealer Financial Statements and all supporting schedules and monthly fluctuation analysis of Capital and Stockholders Equity.