Staten Island, NY
Hard working and loyal professional with over 20 years of experience in financial services organization. Proven ability to work in small as well as larger firms. Strong analytical skills as well as the ability to manage special projects and Ad-Hoc work. Familiar with SEC and FINRA regulatory requirements.
January 2009 to Present
• Responsible for financial reporting including audited financial statement and footnote preparation.
• Reconcile trading system reporting to ensure reconciliation of back office and general ledger reporting.
• FINOP for the firm-responsible for monthly focus filing.
• Calculate daily net capital computation.
• Point of contact for all internal and external audit exams.
• Transitioned accounting function from London to NY to ensure proper local financial and management reporting expertise.
• Responsible for annual budget preparation and monthly monitoring.
• Implemented working supervisory and operating procedures to meet regulatory requirements.
• Exposure to a variety of product groups with emphasis on equity and fixed income
• Worked with all back office department business line initiatives to ensure proper financial and management reporting.
• Managed external audits performed by the IRS and FINRA as it related to financial reporting.
• Special project work with head office regarding implementation of new GL and IT systems utilized globally
• Assisted with transition of clearing firms.
• Responsible for firm's tax issues including monthly provision, estimated quarterly filings and overall yearly tax return.
July 2007 to Present
2007 to 2008
October 2006 to July 2007
• Daily reconciliation of general ledger to general ledger of Canadian parent
• Assisted in Financial Reporting for month end and quarter close
• Monthly brokerage reconciliation
• Analytical review of mutual fund revenues and expenses
• GAAP reporting for securities holdings
• Global Distribution of assets and liabilities reporting
• Bid/Ask analysis for pricing securities monthly
• Researched inquiries from parent company in Toronto
• Calculated and analyzed P&L for Futures trader
• Supported OTC desk of six traders with regards to payouts and P&L
• Reconciled and did analysis of Canadian trades
• Calculated clearing costs for branches based on ECN used and trade volume
• Responsible for bank reconciliations and cash book
• Calculation of depreciation for fixed assets and monthly reporting for them
September 2005 to October 2006
• Responsible for all aspects of 15C3-3 reporting (customer reserve computation), as well as account analysis
• Prepared monthly focus report including performing analysis around income statement and balance sheet accounts.
• Reviewed suspense accounts to ensure of balances are reconciled on a regular basis
• Prepared monthly 600TE report to NYSE (Amount charged per share on foreign trading volumes)
• Generated reports to Federal Reserve Bank (BL2, S1)
• Responsible for management reporting of Dratel Group P&L.
• Accountable for check disbursements and expenses
• Prepared 15C3-1 (net capital formula), responsible for haircut analysis and underwriting commentary for the firm
• Reconciled G/L at month end for accounts receivable
March 2001 to September 2005
Analyst, Futures Division
September 1998 to March 2001
BBA in Finance and Economics
COMPUTER SKILLS Microsoft Word, Excel, Windows NT, Accounting
Software: Lawson, Peachtree, Quicken, QuickBooks.