Management Financial

Controller/Vice President of Finance

Financial Controller with extensive experience leading the financial and

management reporting functions of several premier financial services and

investment banking firms. Recognized for an ability to identify continuous

change actions to reduce cost, enhance quality, and increase efficiency.

Ability to handle multiple projects simultaneously, learn new areas quickly

and take ownership of issues. Possesses strong people management skills and

ability to direct resources not directly under my control through teaming

and collaboration.

Expertise:

Financial & Operations Management / Financial Reporting & Consolidations /

Internal Controls Implementation / Sarbanes-Oxley (SOX) compliance /

Process Improvement / Project Management / GAAP / Risk Analysis / Trend &

Performance Analysis / Change Management / Multiple Projects / System

Installation & Conversion / Strategic Analyst & Planner / Daily P/L and

Balance Sheet Reconciliation / Cost Control & Reduction / Exception

Reporting and General Ledger Month-end Closing Process

Career Chronology:

HSBC Bank, NY 9/2007

- 8/2009

Vice President, Financial Accounting

. Managed 4 people who performed the monthly financial accounting close

for HSBC Markets (USA) Inc. (HMUS) that includes institutional and

retail activities of a US registered broker-dealer, investment

activities such as real estate investments, private equity investments

and mezzanine financing activities, and MBS securitization activities.

. Coordinated year-end and mid-year financial audits by KPMG and HSBC

Group Internal Audit and implemented any significant audit findings

and recommendations as necessary.

. Assessed Sarbanes-Oxley compliance and impact to financial accounting

process by implementing procedures for the improvement of account

ownership sign-off.

. Participated in the development and implementation of new group

general ledger interface to facilitate the Retail Brokerage Business

that moved from the ADP self-clearing platform to the Pershing

correspondent-clearing platform.

. Worked with product controllers on fair value disclosures related to

FAS 157 implementation.

. Managed transition of Retail Brokerage financial close to offshore

team of 6 finance professionals in India.

Barclays Capital, NJ 1/2005

- 9/2007

Finance Manager, Business Unit Control

. Participated in successful management team process to migrate

Portfolio Loans subledger into the Barclays Trade Enhanced Trial

Balance.

. Recorded the month-end post-closing journals to clear suspense and

cash breaks and reconciled the month-end SAP general ledger balances

to the subledger.

. Prepared variance analysis for Group reporting in London and signed-

off on approx. 400 balance sheet accounts for (SOX) account ownership

initiatives.

. Prepared daily P/L for Prime Brokerage and Securities Lending Business

and reconciled daily Flash to the general ledger. Researched any

inconsistencies in trends and met with traders daily to report

findings and obtain sign-off of P/L.

Freelance Consultant, Barclays Capital, NY

2003 - 2004

. Prepared necessary journal entries relating to the month end Fixed

Income/Equity Finance close in order to ensure general ledger is

correct for both US and UK GAAP. Input all G/L entries prepared by

Business Unit Control to general ledger.

Lehman Brothers, NY 1/2001

- 9/2002

VP-Finance, Global Equity Derivatives

. Supervised a staff of 5 employees, 3 Assistant Vice Presidents and 2

senior accountants.

. Performed the reconciliation of the general ledger to the trader's

daily P/L flash report for Volatility and Equity Swaps trading areas.

. Prepared product - line financial statements, month-end closing, and

product budgets.

. Performed detailed broker accrual analysis and daily/weekly dashboard

flash reporting to senior management.

. Analyzed foreign currency exposure, equity derivatives reserve

accounts and monthly cost - to- carry expenses.

Credit Suisse First Boston, NY

9/1999 - 1/2001

VP-Financial Controller, Broker-Dealer Accounting

. Supervised 10 people who were responsible for management reporting and

the month-end close.

. Facilitated Account Ownership Team Initiative by implementing

procedures for the improvement of monitoring the monthly

reconciliation of inter-company balance sheet accounts.

. Led New York Global Expense Management (GEM) team and coached team

members, as appropriate, to develop skills and confidence in their

ability to examine work processes, create solutions, and measure

improvements.

. Reduced overdue inter-regional billing charges 40% by identifying

process deficiencies and heightening staff's awareness of actions

needed to improve process accuracy.

. Designed, developed, and implemented several key management

information reports currently issued by Financial Control and

distributed to key local and global executives.

Bear Stearns, NY

3/1987 - 9/1999

Associate Director, Broker-Dealer Consolidations Department, NY

1995-1999

. Supervised staff of 2 Vice Presidents and 8 staff accounts.

. Prepared month-end broker-dealer financial statements, month-end

closing in accordance with GAAP.

. Worked with IS in implementing automated financial reporting process

to download data utilizing Essbase software, reducing the turnaround

time of the month-end consolidation process from eight days to three

days.

. Automated daily consolidated balance sheet process which enabled

senior management to effectively monitor quarterly leverage ratios in

accordance with rating agency guidelines.

. Decentralized A/Payable to facilitate transition from cost centers to

profit centers, and trained employees in the new system.

. Converted to new fixed asset accounting systems that substantially

improved tax reporting for corporate fixed asset reporting.

. Analyzed bonus reserves and deferred compensation by profit center and

recorded appropriate accrual journal entries.

Vice President - SEC Reporting Department, NY

1987-1995

. Assisted in the preparation and timely electronic filing of 10-K, 10-

Q, 8-K (SEC reports).

. Communicated with managers and coordinated the financial reporting of

five locations to consolidate financial data.

. Directed several IS conversions to increase accuracy and reduce

financial recording and reporting time by 60%.

. Prepared monthly and quarterly revenue variance analysis/financial

statement analysis.

. Supervised management initiative for mapping operational business

process flows to the general ledger in order to insure proper internal

controls and accurate reporting of data.

. Supervised analytical review of G/L accounts to insure proper

classification for management and SEC reporting purposes.

Arthur Andersen, NY 8/1984

- 3/1987

Senior Auditor

. Researched accounting, auditing and taxation issues as required by

client's circumstances. Reported issues and presented analysis to

client and partners on engagement team. Reviewed tax accruals.

. Reviewed and evaluated client's internal controls and procedures, and

prepared written recommendations for implementation by management.

Analytically reviewed financial statements using variance and ratio

analysis.

. Industry experience includes Brokerage, Financial Services

Organizations and Fortune 500 Corporations.

Education:

Fairleigh Dickinson University

1984

Bachelor of Science, Accounting, GPA 3.8

Magna Cum Laude

Computer Skills:

Proficient in all MS Office applications, including Excel, Access and Word,

SAP, ADP, SUN, Hyperion and PeopleSoft General Ledger applications and

Essbase.

Contact this candidate