Management Financial

HAROLD M. KAPLAN

Cell: 917-***-****

Email: ac0ou1@r.postjobfree.com

PROFILE:

Financial and Operations Principal and Compliance direct with over 15 years of experience in the broker-dealer industry, facing off with FINRA auditors as well as internal and external auditors. Extensive knowledge of Net Capital Rule 15c3-1 (FOCUS report). Responsible for fielding audit questions pertaining to balance sheets and weekly reserve computations. Compiled and filed 5 SIPC-6, SIPC-7, Schedule I and 17H reports. Submitted all reports to FRB, FINRA and SEC in a timely fashion. Vast experience as regulatory exam management specialist with multiple national and local Self Regulatory Organizations (SROs) across the financial industry.

EXPERIENCE:

January 2017 Financial Industry Systems

Consultant

Assisted in preparing firms for Dodd-Frank and Volcker regulatory reporting.

Instrumental in developing and implementing project plan to help automate 15c3-3.

January 2017 Protiviti Business Management Consultant

Internal Audit Consultant

Consultant hired to ensure that results of SEC audit have been implemented in a broker-dealer.

2014- Financial Industry Regulatory Authority (FINRA)

2016 Regulatory Coordinator

•Review and analyze FOCUS, SSOI and annual audit financials to ensure FINRA compliance.

•Prepare for risk-based examination of broker dealers and RIA.

•Analyze new products for compliance with existing rules and regulations.

2008- Georgeson Securities Corporation, a division of Computershare

2013 FinOp Business Controller and Director of Compliance

•Ensured compliance of broker dealer under the net capital rule 15c3-1 by computing the calculations.

•Reviewed and accountable for Customer Reserve Formula rule 15c3-3 signoff on weekly money movements.

•Monthly analysis of broker dealer balance sheet close and FOCUS report filing.

•Responded to FINRA audits and inquires relating to FOCUS filings.

•Led monthly profit and loss meetings, and FOCUS review with senior management.

•Daily monitoring of all aged items on firms books to reduce regulatory capital charges.

•Authored over 20 procedures for firms FINOP functions.

•Coordinated monthly conference call to discuss profit and loss variance to budget.

•Monthly review of firm’s profit and loss statement before general ledger close.

•Created annual budget for broker dealer.

2001 - Merrill Lynch Government Securities Incorporated

2008 Vice President of Regulatory Reporting

•Supervised the filing of all Federal Reserve FR2004B report including A, B, C, WI & SI also TIC S, BC, BL-1, BQ & SA.

•Compiled and reviewed the daily capital adequacy report for senior management.

•Supervised the Financial and Operations of Government Securities Brokers & Dealers (FOGS)

•Reported to senior management explanations for monthly capital charge variances.

1997 - Gruntal & Co. LLC

2001 Regulatory Analyst

•Interacted with external auditors on regulatory reporting.

1993 - Oscar Gruss & Son Incorporated

1997 Staff Accountant

•Initiated operational activities for new foreign office.

EDUCATION: City University of New York – College of Staten Island: Bachelor of Science – Accounting,

SKILLS: Computer Software Packages

Excel, Word, Outlook, Access, Oracle, Epicor, Discover & PeopleSoft

Licensed with a Series 27. Life and Health Insurance Licensed in the State Of New York.

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