PROFESSIONAL EXPERIENCE:

Confidential, CA

CFO / COO / Chief Compliance Officer

• Report directly to the CEO/CIO/Owner for a registered investment adviser and fund manager
• Peak Assets Under Management: $560,000,000, including 8 Separately Managed Accounts and 158 fund investors
• Worked closely with CEO to source a prime broker, legal counsel, administrator and auditor for four start - up hedge funds (three domestic and one offshore), and one Master Feeder fund
• Liaise with the auditors and tax preparers for multiple fund and separately managed account audits and tax returns
• Main contact with the fund and Separately Managed Account administrators (4 administrators total)
• Responsible for monthly fund/Separately Managed Account reconciliations
• Responsible for tracking and reporting monthly performance to investors and prospects
• Supervise a Fund Accountant/Controller and a Client Services Representative/Trading Assistant
• Negotiate, review and approve contracts and investment management agreements, including agreements with outside sales/business development firms
• Work closely with legal counsel on general, fund, SEC, investor, bankruptcy (related to investments), and other legal matters
• Coordinated responses to two SEC examinations, including testifying
• Draft and implement FATCA policies and procedures for reporting foreign account activity to the IRS
• Source and manage treasury relationships (banking, custodian and prime broker)
• Prepare and present reports to the Board of Directors for two offshore funds
• Establish and maintain client relationships with High Net-Worth, Trust, Institutional, Foundation, Retirement, IRA and corporate investors
• Prepare financial statements and budgets for the firm, as well as work closely with the firm’s tax preparer
• Handle all client billing (management and incentive fees)
• Main contact with outsourced IT firm; integral in decision to replace/upgrade our server and to have a redundant server offsite, as well as replacing all desktop computers with laptops for more portability
• Work closely with counsel to prepare and update the firm’s compliance manual and fund documents
• Responsible for updating the firm’s annual ADV, as well as the Compliance Manual and Checklists as required by regulatory authorities
• Daily use of Advent Software’s suite of investment management, trading and portfolio reporting software (Axys, Moxy, Dataport, DataExchange and Axys Report Writer Pro)

Confidential, CA

Consultant, SEC Reporting and Technical Accounting

• Work closely with the Manager of SEC Reporting & Technical Accounting and the Controller to prepare and file the company’s annual audit, 10-K, Proxy and 10-Q
• Manage tight deadlines
• Collect, organize and review supporting documentation
• Coordinate review and comments from internal as well as external groups
• Use Workiva, Certent and the FASB website regularly for filing document preparation and research
• Implementation of an ASU tracker to keep up with new accounting pronouncements to determine if they are applicable and/or material, and to prepare for their implementation if they are

Confidential, Santa Barbara, CA

Vice President

• Report directly to CEO for a skateboard company which markets and sells hardgoods and softgoods
• Oversee and manage all accounting activities, including general ledger maintenance, financial statement preparation, cash management, asset management, cost accounting, and financial planning and reporting
• Produce the monthly accounting and financial package and present to the owners and CEO
• Oversee and manage all banking and finance relationships, as well as establishing proper finance levels
• Responsible for setting up and implementing company-wide budgeting and cash flow forecasting
• Direct strategic cost initiatives as well as being involved in product development, including establishing gross margins and sales prices, and assisting VP Operations when needed with all production and purchasing, domestically and internationally
• Responsible for managing production and inventory control, including purchase orders, work orders and bill-of-materials
• Lead business initiatives for revenue, product margins and cash management strategies
• Oversee IT function including primary management and oversight of enterprise software, as well as direct and lead initiatives to improve and enhance IT infrastructure to support the business plan
• Oversee day-to-day operations in order to achieve company goals and meet company deadlines
• Manage service level agreements with all business partners and ensure operational performance meets or exceeds targets
• Work with internal groups and outside legal counsel to fight copyright and trademark infringement
• Establish and implement internal control procedures for all accounting areas
• Oversee Human Resources function, including ensuring that all internal and external reporting requirements are met, all personnel issues are resolved timely within established internal and external guidelines and that payroll is handled accurately and confidentially

Confidential, San Luis Obispo, CA

Corporate Controller

• Report to CFO and directly manage and supervise Accounts Receivable, Accounts Payable and Purchasing
• Responsible for monthly financial statement preparation and analysis, including reconciliation of revenue and cash receipts from the Company website and reconciling vendor invoices to internal activity reports
• Prepare and analyze monthly, quarterly and annual management reports for the CEO, CFO and COO
• Responsible for negotiating and monitoring hardware and software purchases and leases
• Work directly with the independent auditors and tax preparers
• Decreased the month-end closing time from 20+ business days to five, while increasing accuracy
• Work closely with marketing, customer support, development and engineering to make sure accounting gets the necessary information to complete the financial statements in an accurate and timely manner
• Develop, control and update the monthly, quarterly and annual budgets
• Develop and document accounting policies and procedures for the Company accounting manual, as well as implementing company-wide internal controls
• Responsible for reviewing contracts with potential customers and vendors
• Involved in raising outside investor money
• Work closely with HR to formulate the company-wide compensation, bonus and benefits plans, as well as assisting in personnel, payroll and 401k issues that arise
• Manage all cash (Treasury function), from Checking and payroll, to escrow and investment accounts

Confidential, CA

Accounting Manager

• Directly managed and supervised seventeen accountants
• Member of the transition team that was responsible for integrating acquisitions into the company
• Handled accounting questions from throughout the organization, applying proper accounting principles, reviewing discrepancies, and ensuring the accurate documentation and correction of errors
• Reviewed financial reports before presentation to executive management, shareholders and lending agencies
• Responsible for compilation of financial information from 10 direct subsidiaries, made up of over 100 counties, each containing multiple offices throughout each county, to create consolidated financial reports
• Controlled the process of data consolidation to ensure accuracy and timeliness of the financial reports
• Implemented improvements in file/data retention, month-end closing procedures and a Mentor Program

Confidential, CA

Senior Accountant

• Planned and performed compilations, reviews, audits and other accounting engagements for clients in the areas of: manufacturing, retail, SEC, broker-dealer, financial services, non-profit, 401k, government and estates/trusts
• Responsible for multiple complex accounting projects and managing the related budgets for each project
• Reviewed workpapers prepared by junior-level accountants
• Analyzed and documented business processes, providing clients and management with solutions and viable implementation plans
• Prepared monthly/quarterly/annual financial statements and special reports per partner/client specifications, and prepared & reviewed tax returns for corporations, partnerships, non-profits, estates, and individuals
• Performed controller functions such as payroll, bank reconciliations, accounts receivable, notes receivable, accounts payable, notes payable and the preparation of interim financials for partnerships and corporations
• Worked closely with clients in order to achieve the desired goals of the client and the firm, while also meeting the professional standards required of accountants and auditors

Confidential, CA

Assistant Branch Manager

• Routine analysis of the budgeted and actual revenues and expenses for a branch
• Formulated the annual budget for the local profit/loss center, including projections and estimated return on investment scenarios
• Made credit/lending decisions, reviewed credit decisions and loan documentation made by branch staff
• Supervised branch personnel
• Researched and verified information related to the documentation of loans
• Provided outstanding customer service and advised customers on financial arrangements
• Developed financing programs for retail stores and their customers