Manager Management

JACK REPA

** ******* ***** *****, *** Woodlands, Texas 77382

Cellular: 832-***-**** - Home: 281-***-**** - E-mail: ****.****@*****.***

Professional Qualifications

Bachelor of Business Administration (B.B.A.) in Finance Experienced in treasury cash management including forecasting,

short-term borrowing and investing Able to maintained relationships with banks and other corporate lenders to ensure

on-going liquidity and flexibility Strong understanding of Sarbanes Oxley rules concerning internal controls and

procedures Proficient using PowerPoint and Access with advanced knowledge of Excel (advanced functionality includes

use of PivotTables and charts, conditional formatting, data forecasting with trend-lines, etc.) Team player with excellent

analytical and organizational skills Currently pursuing a Certified Public Accountant (CPA) designation

Experience

Treasury

Oversaw daily cash management for global treasury operations; managed and forecasted operating cash flows

(working closely with the A/R and A/P departments); managed maturing debt, short-term borrowings and

overnight investments

Handled bank inquiries and resolved cash/settlement issues

Cultivated on-going relationships with institutional investors, banks and other corporate lenders to ensure liquidity

and flexibility for strategic opportunities

Responsible for pricing and issuing commercial paper and other corporate funding instruments; delivered $3.5

million in annual savings issuing commercial paper, medium-term notes and other fixed-income securities with

by-passing traditional dealers and negotiating directly with institutional money managers

Invested excess cash for the treasury investment account with strict adherence to the firm’s stated investment

policy

Interfaced with rating agencies to ensure positive credit ratings

Mitigated floating interest rate exposure by negotiating interest rate swaps with counterparty banks

Provided regular updates to senior management with current market analysis and overall performance of debt

portfolio including recommendations based on current bond market credit spreads

Assumed the lead role in launching the first direct extendible commercial note (ECN) program in the United States,

enabling my firm to issue short-term notes without the need for additional backstop credit facilities

Ranked as one of the seven (7) largest direct issuers of commercial paper in the United States, total funding for all

corporate and subsidiary companies approached $150 billion annually (includes short and medium-term

obligations)

Compliance

Participated in the daily review and approval of advertising and sales literature; assisted in the development of an

Access database used to electronically store all submissions; prepared necessary filings with FINRA’s advertising

review department

Formulated and implemented new and revised policies and procedures including WSPs and investment advisory

manuals; continually monitored regulatory developments for rule changes and/or interpretative guidance; led a

major policy revision for deferred variable annuities incorporating new suitability guidelines related to FINRA’s

NASD Rule 2821

Initiated numerous field communications including periodic compliance alerts, annual compliance meetings,

quarterly conference calls and a best practice initiative; contributing author to a quarterly compliance newsletter

(sample articles available)

Developed on-going firm element training and continuing education materials

Anti Money Laundering (AML) Compliance

Certified member of ACAMS® (Association of Anti-Money Laundering Specialist) with a CAMS designation

Monitored customer accounts, conducted internal investigations, and initiated enhanced due diligence reports for

high risk customers; prepared Suspicious Activity Reports (SARs) and filed Currency Transaction Reports (CTRs)

when appropriate

Establish a written customer identification program (CIP); administered OFAC screening and 314(a) reporting

Led a re-design and implementation of a proprietary OFAC search tool

Oversaw testing and implementation of Actimize, a relatively new and forward-looking risk-based compliance

and anti-money laundering (AML) surveillance solution

Work History

Consultant - Cobia Compliance, LLC (June 2009 to Present) Sr. Compliance Associate - Stanford Group Company (Sept.

2005 to May 2009) Treasury Funding Manager - American General Corporation (Aug. 1997 to Sept. 2004)

Education

Texas State University - San Marcos - B.B.A. Finance; Recipient of the CJ Wrightsman Academic Scholarship

Contact this candidate