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Customer Service Accounting

Location:
Parker, CO
Posted:
May 31, 2012

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Resume:

BRIAN P HELMUTH

***** ****** ***** ******, ** ***34

m6rdcx@r.postjobfree.com

720-***-****

Accounting - Finance

With over 19 years of management and hands on experience in Accounting/Finance, proficient in budgeting, financial reporting and analysis, regulatory reporting, financial modeling, accounting system setup and conversions, fraud audits, payroll and HR functions. I’m looking to join an organization where I can bring my expertise and be a productive member of the management team.

PROFESSIONAL EXPERIENCE

AML and Compliance Consulting – Parker, CO 2011 – Present

Perform AML and internal/external/fraud audits. Work with companies to resolve deficiencies on independent or regulator AML audit. Review AML policies to verify they are current. Assist companies in creating exception reports including suspicious activity, transaction review, foreign account review, missing data, Fin CEN and OFAC positive match. Assist with SAR, CTR, CMIR and FBAR reporting. Develop employee AML training programs. Work with executives and BOD members on internal AML reports.

TCD Development Corporation (Parent Company) – Centennial, CO 2004 - 2011

• Colorado Financial Service Corporation 2008 - 2011

Controller/AML Officer

Revenue in excess of $5 million. Supervised 4 employees

Responsible for the daily/monthly accounting, budgeting, financial modeling, regulatory reporting, payroll, and HR. Established internal controls, managed the cash and investments, initiated all wires and ACH transactions, developed annual budgets and budgeting process, restructured credit and collections, and worked with outside auditors and banking personnel. Additional researched and implemented Peachtree software, converting accounting data from QuickBooks.

Responsible for the management, strategic planning, and leadership of the Broker/Dealer. Duties include marketing planning and implementation, recruiting registered representatives, business development and retention, and employee development. Performed SEC and FINRA audits, maintained AML and OFAC compliance, worked with product sponsors, functioned as the home office OSJ. Securities licenses include 7, 24 & 79.

• The Compliance Department – AdminSolutions 2005 - 2011

Vice President of Operations

Revenue in excess of $2 million. Supervised 4 employees

Worked with companies to convert their back office processing to AdminSolutions. Assisted companies with regulatory requirements including the USA Patriot Act, SEC Rule 17(a)3 notification letters, AML and OFAC issues, continuing education tracking, branch office audit tracking, Reg S-P notifications and compliance reporting. Worked with companies to solve problems and maintain superior customer service. Worked with software vendor to resolve issues with the software. Trained employees, remote users, registered reps and executives on the software. Maintained database server and software.

BRIAN P HELMUTH page 2

• The Compliance Department 2004 - 2011

Vice President/Controller

Revenue in excess of $11 million. Supervised 9 employees

The Compliance Department provides Compliance out-sourcing services to securities Broker/Dealers, Investment Advisors, banking institutions and insurance companies.

Established audit questions and modules for the fraud and AML audits. Performed SEC and FINRA compliant Broker/Dealer, OSJ, Branch, and NRL audits. Performed AML audits for our companies as well as two clearing firms. Reviewed and finalized all fraud and AML audit reports from our independent contractors prior to sending to companies. Prepped financial information for regulatory reporting by FinOP customers. Assisted with marketing and recruiting of new business. Worked on the national meetings including content, location, personnel, vendors, and attendees.

Affiliated Financial Services – Greenwood Village, CO 2004

Accounting Manager

Company revenue in excess of $16 million. Supervised 3 employees.

Performed all of the daily and monthly accounting functions including deposits, journal entries, accounts receivable, accounts payable, recording and depreciation of fixed assets, and reconciliation of accounts at month end. Prepared monthly financials, supporting documents and analysis for executives. Created budgets and budgeting process. Converted commission payout system from an Access database to WinOPS. Performed SEC and FINRA fraud audits on OSJ’s and Branch offices.

United Securities Alliance, Inc. – Greenwood Village, CO 2002 - 2004

Chief Financial Officer

Company revenue in excess of $48 million. Supervised 14 employees.

Reviewed monthly financials for completeness and accuracy. Created and defined the financial reporting for multiple entities. Analyzed monthly budgets and advised department managers of necessary adjustments to meet budget requirements. Monitored monthly cash flow to maintain adequate levels of capital. Prepared and filed quarterly FOCUS report to FINRA. Updated owners and board of directors on company financial status. Maintained banking and vendor relationships. Processed payroll using timekeeping and ADP online systems. Met with field reps throughout the U.S. to discuss company policies, procedures, and business growth strategies. Performed SEC and FINRA fraud audits.

Education & Licenses

Barnes Business College – Denver, CO Associates Degree – Computerized Accounting

University of Southern Colorado – Pueblo, CO Major – Chemistry Minor – Math

Securities Licenses: 7, 24, 79

Professional Affiliations

Member of the Association of Certified Fraud Examiners



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