Lisa Judith Janke

Huntington, New York *****

acgpfr@r.postjobfree.com

516-***-****

CAREER EXPERIENCE:

Ernst & Young LLP, Manager, Advisory Services, Performance Improvement, Financial Management; 2010 – current

Started-up and led a Global Process Owner (GPO) campaign based on client interest. Initiated client roundtables focused on the

record-to-report, accounting and reporting, processes for Global Banking and Capital Markets clients. Invited three GPOs from

up to ten clients who were members of executive leadership in the finance organization with either direct or dotted-line reporting

to the Head of Finance or the CFO. Clients requested a quarterly event due to success of the initial roundtable. Led decision-

making, organized and prepared materials for GPO roundtable events and campaign. Drafted the first ‘Point of View’ proposal

deck to assist clients with finance transformation solutions. Wrote a published whitepaper article on GPO current state among

industries and preparedness. GPO is a governance approach being deployed across the finance function by several leading

global financial services firms. GPO plays an essential role in implementing change.

• At a global leader in mergers and acquisitions advice, and securities underwriting, managed a general ledger (G/L) chart-of-

account usage documentation project and a small team. D ocumented chart-of-accounts usage for over 17,000 unique accounts

on the firm’s G/L. Captured all account (a/c) purposes, enforced consistent a/c usage, eliminated duplicity and facilitated review

by outside parties, .e.g., auditors, regulators. Completed initial documentation of a/c’s and established a maintenance process.

Coordinated with Financial Reporting and other departments to determine individuals responsible for documentation,

communicated responsibilities and the documentation process to a/c owners, reviewed documentation, established quality

controls and coordinated revisions when required, coordinated review and sign-off on documentation by a/c owners within the

Financial Reporting team and documented maintenance procedures. Collaborated efforts with the clients Financial Systems and

Analysis team, confirmed approach, developed timelines and provided guidelines on proper documentation. Hired and managed

resources in Bangalore to provide global coordination and minimize cost.

• Led multiple global regulatory campaign initiatives. Led team through Form PF (private funds) SEC filings for a hedge

fund manager client at a large global bank. Oversaw a legal entity analysis project surrounding push-out rules at the world’s

largest bank that provides deposit, lending, leasing, investment advice and trust services in more than 40 other countries. Led

team and helped respond to clients request for information on registration options by preparing a findings and recommendations

report showing current state understandings and observations. Led teams at a large global bank, guided external client

workstream owners thru various phases of an impact assessment on Dodd Frank Title VII. Led multiple workstreams, business

model (trade execution, house clearing, legal entity analysis), foreign exchange (FX) and derivatives reporting. Oversaw

documentation of rules to requirements, analyzed current state versus future state requirements, performed gap analyses,

identified projects to close gaps, documented milestones for projects completions, developed roadmap towards implementation

and helped design the future state target operating model.

• Advised clients in global finance, led team on first FATCA project within practice, four workstreams: business model, tax,

client reporting, accounts payable. Defined transaction payment flows and client reporting standards. Documented current and

future state target model.

• Led and created quality assurance control process and team on business transformation methodology roll-out and strategy

initiatives.

LJS Consulting Group Ltd., President, CEO, Senior Consultant; 2009 – 2010

Incorporated a consulting company to provide financial services to companies in need and aim to improve organization

structures, processes, controls and reporting to enhance efficiency and effectiveness. Products and services included finance,

accounting, transformation, process improvement, management, reporting, investment banking, strategy, institutional trading,

product control, risk, performance and financial reporting for firms that include global banking, capital markets, asset

management, investment management, hedge funds and brokerage.

HSBC, Senior Consultant, Global Banking and Markets; 2008 – 2009

Restructured financial management reporting process and the financial reporting department. Supported drastic financial

restructuring. Took over positions and responsibilities of the SVP (Senior Vice President), VP and Financial Analyst, while

improving groups effectiveness.

Designed and developed C-level financial reports annually, semi-annual, quarterly and monthly for Global Banking (including

Portfolio Management, Private Equity, Credit Derivative Swap Hedges), Global Markets (Foreign Exchange, Rates, Derivatives,

Emerging Markets, Credit, Corporate Trading, Balance Sheet Management), and Global Transaction Banking (Payments & Cash

Management, Bank Notes, Issuer Services, Alternative Fund Services) within Excel and PowerPoint presentations submitted to

Senior Management in US and UK, reported variances to prior periods and budget, and analyzed conclusions.

Supervised team of VP’s on financial reporting using US GAAP and IFRS accounting standards, SOX initiatives, budgeting,

estimates and system analyses. Performed parallel financial system tests, streamlined reporting process. Held budget reviews

and facilitated plan revisions.

Merrill Lynch, Vice President, Treasury Finance; 2007 - 2008

Head controller with ownership and management oversight for design of entire financial process surrounding three $12b

structured trades (International Liquidity Facilities) belonging to C-level management. Complex transactions were senior debt

1 of 2

obligations including interest rate swaps, preferred shares and Eurobond loans, with intercompany (NY, UK, Dublin) and third

party relationships.

Developed position and restructured processes to be head controller and key contact. Oversaw eight legal entities (UK, Cayman)

within the deals. Developed financial reporting; budgeting and forecasting; annual, quarterly, monthly management reporting;

10Qs; fair value option and hedge analysis reporting, debt disclosure and long-term borrowings. Reviewed and submitted US

GAAP and UK IFRS financial accounting adjustments, performed repatriations, audit reviews, consolidation schedules,

deconsolidations, calculated deal splits, reported equity pickup rollforwards to retained earnings. Created effectiveness

schedules on MTM values using FAS155 credit spreads and LIBOR.

Reported and calculated current and deferred taxes, income tax provisions, temporary and permanent differences, and planned

FX dividend tax payments. Supervised cash flow processes, decided capitalization strategies, managed infusions, developed

procedural documentation, designed processes automations, performed repo facility testing, calculated demand loan interest,

tracked reverse repos, managed legal and administrative documentation of the structured transactions.

Took over Director position. Collaborated with traders, operations, auditors, legal, finance, global tax, head business managers,

bankers, management and corporate reporting on solutions. Held weekly project progress meetings. Developed best strategies on

trade executions.

BNY Convergex (BNY Brokerage, LJR, WRA, Pershing, Eze Castle), AVP, Senior Financial Analyst, Finance; 2006

- 2007

Managed team providing C-level financial management reporting and analysis in PowerPoint and Excel presentations for entire

brokerage firm (execution only, soft dollars, commission recapture; domestic and international products and services, such as

equity trading, fixed income, transitions, hedge funds, wholesale, direct execution, electronic trading, program trading, master

brokerage). Developed detailed business decks to guide senior management to drive best possible business decisions. Calculated

gross and net cents per share, soft dollar ratios, NASDAQ and NYSE benchmark comparisons. Maintained and improved data

warehouse client base system to streamline data in management reporting process.

Julius Baer Investment Management, AVP, Senior Financial Analyst, Product Controller, Finance; 2004 – 2006

Designed multiple processes to meet SEC standards. Developed financial reporting processes and performance management

reporting PowerPoint presentations for board meetings. Developed profitability reporting across funds (international equities,

commingled, separates, mutual) and bonds (total return). Took sole responsibility for structure. Developed asset management

and private banking sales commissions processes. Oversaw plan to decide and implement system to automate commissions

process. Calculated performance fees and platform charges. Attended SIA conferences and SEC board meetings. Ran budget

meetings. Automated allocations and fixed asset depreciation. Developed special compensation accounting methodology

changes, managed accruals, form 1062 and performed variance analyses. Traveled to Switzerland (parent) to collaborate

financial reporting processes and mainstream systems. Direct report to CFO.

Morgan Stanley, Manager, Investment Management Controller; 2003 – 2004

Sole responsibility for Van Kampen Investment reporting, regulatory reporting, 10Qs, presented and discussed material

variances in monthly meetings and conference calls, investigated actual variance explanations for profit/loss (P/L) and balance

sheet (B/S), prepared estimates, performed security revenue reconciliation reporting, resolved intercompany breaks, managed

monthly allocation processing, automated direct allocations and fixed asset depreciation, maintained G/L cost center (CC) and

a/c mappings, automated monthly and quarterly spreadsheet procedures, handled SOX filings, developed procedures

documentation and authorized P/L monthly figures sign-off. Approved and documented monthly B/S balances, responded to

adhoc G/L and allocation inquiries, performed integration testing for new Genesys application tool, monitored suspense and I/C

a/c’s and set-up new B/S reconciliation process.

Citigroup, AVP, Financial Controller, Treasury, E-Business; 1997 – 2002

Owned set-up of all financials on start-up of new joint-business venture; opening, formation, function of eight entities (NY,

Delaware, Bermuda, Ireland, London) containing two levels of consolidations with elimination units. Worked closely with small

team on strategies for best performance of entire project model. Developed ordinary and contingency procedures,

recapitalization structures, adjusted for additional funding, traveled to London for discussions on US developments, gained

better knowledge over UK operations, created financials for individual and consolidated legal vehicles and shareholder

distributions. Configured static data in subledger system acquired (OPICS). Mapped subledger to G/L a/c’s. Held weekly and

monthly financial meetings and conference calls (UK, Ireland) to discuss figures, changes, open items, plan progress, and next

steps with CEOs and head business managers. Deciphered necessary financial requirements, funds transfers, performed multiple

phases of integration testing before going live. Created and monitored cash controls, commercial paper and expense models.

Provided rating agency material, credit risk, designed UK feed approvals, reconciliations and monitored expense codes.

Conversed with lawyers to accept legal entity matters, worked on Irish vehicle proposals, forecasted projections, minority

interest, subordinated debt, G/L balance confirmations, policy write-ups, agreements and developed FASB 133 approval

documentation.

Reviewed weekly FX Federal Reserve Bank reports for Citibank, Salomon Forex Inc. and Salomon Smith Barney businesses;

monthly and quarterly regulatory reporting; and options. Calculated futures and spot rates. Reconciled FX P/L, probed

differences between G/L and sub-ledger systems for multiple departments, B/S analysis, authorized a/c mappings and

modifications according to FASB requirements, reviewed Income Statement and B/S preliminary and final month-end G/L

balances, London options adjustments, short position charges, brokerage, futures revaluations, pricing, market value, proprietary

trading, accruals; separate monthly B/S meetings for each business entity. Prepared B/S package, working capital, product line

B/S, unrealized P/L, margin calls, I/C and tax reporting.

2

Solely responsible for internal audit review, department control function activity-based cost reporting analysis of two groups,

quarterly regulatory reporting for two separate entities, financial statement treatment, cash flows and other regulatory exposure for

Federal Reserve Bank reporting, management profitability reporting, rate reasonability, G/L analysis, proof differences; accountable

for entire collateralization of securities process, variable rates, excess funds and FX overdraft charge reconciliations. Calculated

investment contracts, amortization and interest. Responded to pending trustee queries, external audit requests and funds transfers.

Implemented three systems, conversion parallel testing, B/S a/c reconciliation monitoring, management information system (MIS)

process, initial public offerings (IPO), FASB reporting, P/L, investing and swaps. Worked closely with traders, cash position

analysis, FIDICIA quarterly memocable reporting and risk reporting. Developed procedures documentation.

EDUCATION: Bloomsburg University, Bloomsburg, Pennsylvania, U.S.A.

Bachelors of Science in Business Administration, Major: Accounting, May 1997

HONORS AND ACTIVITIES:

Volunteer Income Tax Association (VITA), equestrian show jumping, chamber orchestra, CPA candidate, SIA conferences

participation.

COMPUTER KNOWLEDGE:

DOS, Windows; Microsoft Publisher/Office, Excel (pivot tables, macros, formulas, Essbase), Word, PowerPoint, Access,

Outlook; Lotus Notes; WordPerfect; dBase; Turbo Tax; QuickQuant, QuickBooks, QCommissions; SQL; Solar; OPICS; Face,

Race; EPICS; Microbook Millennium; CTS; Exchange; Trafis; GLDP; Cititracs, Citichecking; CFC; SAP - Core, G/L; M&D;

Omega; Genesys; AccPac; Crystal; TaxStream; Summit; Glacier; Muskateer; BSAO; Pegasus, FDM; Oracle Discoverer, FGI;

Hyperion – Reporting, Retrieve; LESA, SOX.

3 of 2

Contact this candidate