Core Strengths and Skills

• Client Optimization
• CFP/CPA Candidate
• Certified Equity Expert/Corporate Benefits
• Account and Risk Management
• Banner Expert
• ERISA Law Expert
• Compliance Expert
• Managed Advisory Accounts
• Business Strategist
• Financial Analysis/Forecasting
• Vendor Management
• Strong Accounting and Finance Experience
• Investment Banking
• Client Acquisition Retention
• Strong Audit Experience
• GAAP/SOX Specialist

Financial Experience

Confidenital

Employee Benefits/Retirement Manager

• Managed the University's Compensation, Benefits, and Retirement Plans including the following: Developed compensation policies and procedures for Human Resources Department. Worked with senior management to create HR policies and procedures create group benefits databases and develop orientation, training and incentive programs. Manage FMLA/COBRA Administered the Benefits and Retirement Budget. Managed a staff consisting of 2 HR Generalist and 1 Benefit Accountant. General ledger/Journal entries/Financial audits/Account reconciliations/Payroll administration/Claims processing/ Enrollments and terminations/Vendor and actuary relations/Data management and reporting
• Managed the University's 70 Million dollar Retirement portfolio Responsible for monitoring the Retirement Plan's Asset Allocation, performance, and fees.
• Structured and implemented programs and policies in the areas of training, compensation
• Negotiated approximately 50 salary offers and at both the exempt and non-exempt level.
• Brought workers' compensation program into full compliance. Instituted preferred providers list and trained managers and associates on procedures to follow in case of injury.
• Reduced benefits costs by 15 annually through meticulous recordkeeping and ensuring that company did not pay for benefits for which employees were ineligible.
• Wrote employee manual covering issues including disciplinary procedures, code of conduct, FMLA policy and benefits information.
• Implemented formal performance review program, creating a flexible and well-received tool that was later adopted company-wide.
• Established ERISA guidelines to included IRS and DOL retirement law into full compliance. Instituted preferred vendors list and trained managers.
• Implemented Internal Audit and Controls procedures to address audit findings and corrective action plans.
• Analyze, evaluate and administer 403 b plans, to include all data entry associated with the plan, creation of all necessary internal reports associated with the plan, and maintenance of all files/records associated with the plan.
• Responsible for the management of the relationship with the third-party administrator and evaluating alternative administrators.
• Handle all requests from constituents for retirement benefits information. Monitor applicable benefits legislation and ensure that plans are compliant with such legislation.
• Oversee the filing of Form 5500s and related tax filings.
• Ensure compliance of plan documents and summary plan descriptions. Preparation of all employee communications materials related to the plans.
• Responsible for planning and monitoring of all benefits plan expenditures and assisting in reconciliation process.
• Strong knowledge of retirement plan regulations, ERISA, social security and tax laws. Utilized databases and data file structures to implement compliance reporting.
• Oversaw reconciliation: Banner Registry/Payroll/Accounting.

Confidenital

C.F.O./Business Development Manager,

As CFO and Business Development Manager, of Workout Kid, Inc., a start-up S-Corp , Workout Kid's program encourages families as a whole to understand the importance of physical activity and healthy trends for life. Workout Kid targets children of all ages, and encourages them to implement physical activity in their everyday routines.

Strategy

Developed and implemented product roadmap based on company's business and brand strategy, competitive analyses and market insights. Directed and closely collaborated with cross-functional teams Producers, videographers, designers, manufacturing, marketing and finance in managing the full product development cycle across kids' fitness products. Innovated and executed product-driven processes to ensure speed-to-market of designs at desired profitability and margin targets. Evaluated financial and sales data to recommend new product ideas. Profit and loss responsibilities for products expenses and revenues. Led the 3-Year Planning and Analysis Cycle for the division including collecting and analyzing voice of customer, market research, new product design, budgeting and forecasting.

• Led product development and team, from market identification to product introduction launch, providing a new product introduction to open new/underdeveloped markets, 15 share growth. Duties included design goals and specifications, project management, vendor selection, consumer research/focus groups, industrial design, engineering architecture, software programming, prototype/simulation testing, and design for manufacture.

Financial Planning and Analysis

• Prepare and maintain regular financial planning reports Monthly profit and loss forecast by division vs. budget Weekly 13 week cash flow forecast. Complete analysis of financial results Develop recommendations strategic and tactical .
• Develop and execute analysis of various business initiatives e.g., opening new operations, asset acquisition, new service launches .
• Develop and maintain capital budget.
• Assist in development of financial planning and analysis exercises/reports.
• Participate in calls with Lenders.

Accounting Activities

• Oversee preparation of month-end, quarter-end and year-end financial statements
• Review all month-end closing activities including general ledger maintenance, balance sheet reconciliations and corporate/overhead cost allocation
• Enhance and implement financial and accounting systems, processes, tools and control systems
• Coordinate audits and proper filing of tax returns.
• Ensure legal and regulatory compliance regarding all financial functions.
• Serve as a key point of contact for external auditors Manage preparation and support of all external audits

Cash Management

• Oversee weekly cash management Approve weekly payables Execute check signing
• Oversee AR/AP management and provide support to collections activities
• Monitored the day-to-day cash management and cash accounting functions, including report preparation, consolidation and movement of funds, and interactions with internal departments and external financial institutions.
• Expert in all cash forecast for management on cash receipts and projected expenditures and conducts General Ledger analysis on all cash and investment income accounts.

Confidenital

Registered Representative/Compliance Specialist,

• Registered representative for five Financial Advisor teams with over 250 Million dollars in Assets. Sold financial products and services to clients for investment purposes, applying knowledge of securities. . Forecasted and Modeled Clients' portfolios on an individual bases and overall performance of the Financial Advisors portfolio and managed accounts.
• Trained and managed teams up to 10 Sales Assistants and Financial Advisors
• Responsible for the G1-G4 regions Annuity Compliance and associated Risk judging investments made based on the clients objectives and suitability.
• Evaluate and report on client risk management infrastructure in areas of quantitative models and risk systems.
• Research, analyze, interpret and apply regulatory agency requirements and internal Company policies to business initiatives and activities
• Coordinate investment advisor Code of Ethics compliance and reporting activities
• Conduct surveillance of electronic communications and assist with program coordination
• Analyze and investigate potential fraud, identity theft, and policy violation and risk activity
• Recommend course of action and compose internal sanction letters to the Firm's Registered Principals and Representatives where violations are confirmed
• Analyze supervisory control processes over customer transactions
• Prepare statistical and/or narrative management reports
• Oversaw cash management operations, which included managing daily cash positions, funds movement transactions, bank balances and monitoring of maturing fixed income securities.
• Reviewed client portfolios, interacted daily with clients regarding their trading activities, cash needs and cash availability for purchases.
• Administered market information to customers and executed trades. Engineered operations associated with trades such as inputting trades into the systems and conveying information to corresponding departments.
• Partnered with internal teams to prepared monthly, quarterly, and annual forecast of cash flow.
• Provided analytical support for various Treasury or cross functional initiative and ad hoc projects.
• Implemented and reconciled new client accounts.
• Efficiently resolved settlement issues, and trade discrepancies

Confidenital

Equity Compensation Manager,

• Responsible for the Administration and the Management a team of Stock Option Traders of the Company's global compensation equity incentive programs, such as, Stock Options, Restricted Stock Units RSUs and Restricted Stock Awards RSAs . Position supported stock administration services provided to payroll/legal/finance including stock transaction reporting, and Section 16 Insider Reporting . Managed Call Center teams consisting of up to 20 Associates and 2 team leads. Contracted Companies: Nike, 3M, Credit Suisse, Lowes
• Position supported stock administration services provided to payroll/legal/finance including stock transaction reporting, and Section 16 Insider Reporting .
• Report market risk exposure internally and to federal regulatory agencies.
• Manage market risk across asset classes including interest rates and rates derivatives, equity and equity derivatives, credit products, and securities financing.
• Monitor adherence to risk limits for all trading activities using quantitative measures.
• Alert trading desks and senior management of potential risk changes after significant events.
• Identify and resolve collateral quality issues to prevent potential loss.
• Model portfolio asset and liability cash flow gaps.
• Maintained data integration between Oracle-HR, E TRADE's Equity Edge, and ADP. Ensured equity plan transactions were process correctly and settled in a timely manner. Option Exercises, SWAPS, Reloads, Option Grants, RSU grants .
• Remained current on issues impacting equity compensation policies, programs and practices and stay informed about new laws and regulations including compliance with SEC, IRS, Sarbanes-Oxley SOX , state, local, and relevant international regulations.

Confidenital

Project Accountant,

Served as a key Project Management team member in construction of a 60 million dollar project. Effectively communicated with Project Managers PM , regarding contract documents, change orders and other contract modifications, approvals, and any additional services-related to billing. Full Cycle project accounting. Prepared final invoice package containing draft and final invoices for all billable projects. Provided the accounts payables team member with advice on client billing, relative to consultant invoicing and reimbursable expenses. Generated and distribute bi-monthly receivables reports and monthly profitability reports. Wrote off any uncollectible receivables, labor or expenses. Monthly analyzed the P L accounts monthly, and prepared balance sheet account reconcilements. ERP software used for General Ledger, Accounts Payable and Receivable and Fixed Assets.