Manager Accounting
Resume:
RAYMOND KOCH, CPA
Hawthorne, New York 10532
***********@*********.***
SUMMARY
Executive level accounting professional with extensive experience in asset
management and capital markets. Broad-based background developing and
improving accounting controls, streamlining reporting, monitoring policy,
compliance, and partnering with businesses to meet firm objectives.
Collaborative leadership style proven effective in multiple line and
project roles. Track record of relationship building across business team,
finance, IT, operations, and legal.
CFO/Controller Acquisitions/Dispositions Product
Development
Accounting Policy Due Diligence Investment
Accounting
SEC Reporting Audit/Consultant System
Relationships Implementation
SOX Implementation Legal Document Review Partnership
Accounting
PROFESSIONAL EXPERIENCE
MORGAN STANLEY, New York, NY 1988
- 2012
Executive Director - Investment Management Financial Control Group
2004 - 2012
. Managed accounting efforts related to divestiture of major operating
components of business
. Developed GAAP compliant financial statements for "carved out" business
that did not exist as reporting unit prior to transaction
. Directed Balance Sheet analysis and capital compliance of Investment
Management Division
. Coordinated segment audit including financial statement filings for three
registered broker dealers
. Performed due diligence procedures on potential acquisitions and asset
manager lift outs as controller's representative on senior cross
functional team that invested approximately $1 billion in firm assets in
various hedge fund managers with over $30 billion in assets under
management
. Partnered with senior management to identify and resolve accounting
issues around structures of new products
. Developed and maintained division compliance with new accounting
pronouncements
. Wrote policies for and represented finance on senior level Seed Capital
Committee created to better monitor and control current commitment levels
Executive Director - Core Business Controller
2003 - 2004
. Managed 25 person, multi-location staff responsible for general
accounting functions for all firm mutual fund and separately managed
account (SMA) products across three distinct distribution channels
(institutional, intermediary and retail)
. Coordinated preparation of audited financial statements for division and
embedded legal entities
. Ensured division compliance to all internal and external revenue sharing
arrangements
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RAYMOND KOCH, CPA
MORGAN STANLEY (continued)
Executive Director - Insurance Recovery
2001 -2003
Led World Trade Center insurance recovery efforts for the Investment
Management division while continuing to serve as Chief Financial Officer
for publicly traded Managed Futures Funds and as part of the IM
controller's senior management team.
AVP - Executive Director - Managed Futures and Realty Accounting
1992 - 2001
Managed 22 person professional staff responsible for all accounting and
reporting functions pertaining to the Managed Futures and Realty Products.
Primary functions included:
. Served as Chief Financial Officer/Principal Accounting Officer for over
40 funds
. Managed fund accounting for all managed futures funds including daily and
month end NAV calculations, maintenance of individual fund books and
advisor performance monitoring
. Partnered with IT to develop a fund accounting system to automate above
functions
. Responsible for external reporting on all funds including monthly and
audited annual financial statements, 10Q, 10K and other regulatory
filings
. Maintained the internal tax system and coordinated the issuance of over
100,000 Schedule K1's and the preparation and filing of the fund's annual
state and federal tax returns
. Oversaw all business unit accounting functions for the Managed Futures
and Realty Divisions
. Provided accounting support for new product development process including
prospectus review, audit coordination, due diligence reviews of
prospective new advisors and S-1 filings
. Functioned as primary business manager in the gradual wind down of the
Realty Business Unit. This function includes managing the day-to-day
activities of the Realty customer service department
Manager (AVP) - Capital Market Systems/Daily Reporting
1988 - 1992
. Major projects included conversion of the firm's general ledger to
McCormick & Dodge, the Excel based automation of numerous Management
Reports within Capital Markets Reporting and the creation of a systems
based daily compilation of trading results for Managed Futures
. Developed, maintained and supervised daily implementation of a PC based
system for reporting the results of operations and daily position
exposure of the firm's various trading desks.
OTHER EXPERIENCE
THOMSON McKINNON SECURITIES INC., New York, NY
Manager - Special Projects Capital Markets Division
Functioned as Chief Administrative Officer, working directly with the
executive level to formulate and enforce policy for all equity and fixed
income departments. Served as a liaison for both management and senior
traders with accounting, systems and operations.
Internal Audit Supervisor
DELOITTE, HASKINS & SELLS
Supervised and participated on audit assignments of various financial
services industry clients
EDUCATION
Pace University MBA - Financial Management
Iona College BBA - Accounting
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