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Finance Director

Mahopac, New York, 10541, United States
May 16, 2018

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Carmel, New York *****



Accomplished senior leader in finance management and control, with more than 20 years of experience delivering governance in international financial services, investment, and asset management organizations. Skilled at partnering with business leaders, providing insight and oversight shaping long-term and short-term decision making. Strong talent for guiding full project lifecycles for complex initiatives including product management, risk mitigation, and operational enhancements. Exceptional client relationship manager forging long-term collaborative and productive partnerships. Adept at using financial modeling and analysis to drive future business strategy. AREAS OF EXPERTISE

Financial Planning and Analysis (FP&A) Business Strategy Financial Reporting Investment Management Alternative Investments Investment Accounting Financial Application Implementation Accounting Management Financial Services Management Project Management Financial Modeling Auditing & Due Diligence Operational Risk Assessment Risk Management Mergers & Acquisitions Team Building & Leadership Negotiation Continuous Process Improvement PROFESSIONAL EXPERIENCE

MORGAN STANLEY, New York, New York 1999-2017

Investment Management Division, one of the top global asset management and financial services companies. Financial Controller Executive Director

Championed financial control for the investment management division, providing process and strategy management for $2 billion in revenue with a 24% margin and $400 billion in assets under management for more than 200 legal entities. Established policies and procedures to formalize standards for division-level financial statements including shaping central strategies for investment accounting, revenue recognition, and shared service support management. Coordinated extensive financial statement audits. Managed all regulatory reporting and compliance. Directed project teams for specialized initiatives spanning financial systems development, new accounting guidance, regulatory change impact analysis and remediation, shared service process realignment, and continuous improvement programs. Motivated 4 direct reports in a collaborative team, with dotted-line authority over a total of 12 personnel. Selected Achievements:

Consistently evolved strategies for product development and strategic business planning for a $4 billion investment portfolio, with 10-20% in annual turnover, supporting more than 500 investment personnel.

Led up to 50 fund launches per year, with a max position funding of $250 million across a broad product range including mutual funds, real estate funds, hedge funds, private equity funds, and fund of funds.

Drove the success of 10 joint ventures as primary contact for all financial operations, including due diligence, acquisition, partner correspondence, forecasting, and scenario analysis.

Adapted swiftly to changes in the regulatory landscape by deploying necessary changes, including the transition to Bank Holding Company, Basel III capital reporting, and Volcker Rule.

Streamlined and optimized revenue management by deploying a multi-regional system, overseeing multi-site implementation.

Facilitated a $1.5 billion divestiture of the retail asset management business by managing audit of pro forma carve-out financial statements and financial analysis.

Deployed an investment accounting system and reporting environment across all SDLC phases including coordinated planning, requirements definition, database and user interface design, development, testing, and release scheduling.



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MORGAN STANLEY, continued:

Ensured risk mitigation and volatility reduction for the derivative hedging program as product controller; created performance analysis reporting, variance metrics, and analytics for risk management and strategic decision-making.

Deployed multi-currency software supporting $500 million in annual revenues across 1,000 institutional account in 4 locations, resulting in consolidation to shared service and a 25% headcount reduction.

Conducted Risk Control Self-Assessment (RCSA), implemented effective internal controls for Sarbanes Oxley SOX compliance, and improved financial information data integrity.

Defined operational KPI and monitored for continuous process improvement.

Established product profitability pro-forma analysis for new product approval and capital allocation.

Selected to serve on several key internal committees shaping policies for valuation models, equity investment data governance, regulatory oversight, segment asset and liability control, and NA new entity approval. DISTRIBUTION MANAGEMENT TECHNOLOGIES, INC. / LBBW, New York, New York 2017-Present Technology consulting firm working with German bank Landesbank Baden-Wurttenberg (LBBW). Senior Business Analyst

Facilitate long-term and short-term strategic initiatives by conducting a tactical assessment of a proposed consolidation of international branch data centers. Evaluate the feasibility of transitioning to hosted vendor provided infrastructure as a service (IaaS). Analyze impact on regulatory compliance and operational risk; determine and present potential risk factors.

Selected Achievements:

Delivered a highly comprehensive, complex assessment that featured specialized considerations such as European general data privacy regulation (GDPR), data transfer latency, and strategic alternatives.

Proposed improvements for 5 global locations as part of the assessment via strategic recommendations impacting system performance, cost reduction, risk mitigation, and user experience. FORMAL EDUCATION

Bachelor of Science in Business Management

Ithaca College – Ithaca, New York


Annual Continuing Professional Education (CPE) Courses in Accounting – Emerging Topics & New Practices Intensive Multi-Week Leadership Development Seminar – LearnTech Associates, LLC NON-PROFIT AFFILIATIONS

Board Member & Co-Author – The Key Foundation, Inc.

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