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Financial Management

Westfield, New Jersey, United States
September 12, 2018

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Westfield, NJ ***** 908-***-****

Profile: Business Management and Chief Financial Officer

Financial Services Executive with BIG 4 experience, a wealth of industry and organizational leadership experience, strong business and financial acumen, and a well-documented history of advancing the strategic direction and financial health of an organization through acquisition and organic growth, product penetration, cost control, and increased revenues.

-Industry Expertise: Over 20 years’ experience that includes executive roles in product, accounting and financial management, financial and operational strategy, and the effective design of product and financial control systems.

-Organizational Leadership & Transformations: A key decision-maker and member of executive management teams that provided the vision and organizational oversight for the execution of strategic initiatives that achieved goals for revenue growth, sustainable financial controls, and new business development for companies.

-Staff Recruiting & Development: Partnered across the business to recruit, train, and develop top-producing teams. Managed the due diligence and hiring process for an average of 400 new Financial Advisors annually.

Noted Strengths & Value Offered

-Collaborative leadership style with the ability to communicate with all levels of management within the CFO, control functions, and business organization.

-Strength in translating business objectives into strategic plans, tracking initiatives, and roadmaps that guide an organization in establishing and achieving business goals and financial targets.

-Provide oversight of risks and processes inherent in the business that strengthens risk and control environments, its governance and control framework, and strategic business support across the organization.

-Advanced knowledge of traditional banking and client financial services and products that include product management, budgeting, and financial planning.

-Exceptional analytical, project management, communication, public speaking, and presentation skills.

Professional Experience & Accomplishments

Mulligan Homes, LLC –Westfield, NJ November 2016 to Current

PRESIDENT / CFO, Real Estate Development & Consulting

Manage real estate development projects including renovations and new home building, rental property management and consulting services for real estate projects (process, improvements and tax impact).

UBS Financial Services, Inc. – Weehawken, NJ January 2010 to October 2016

EXECUTIVE DIRECTOR, Wealth Management Advice & Solutions - Products

Promoted to the role of Investment Solutions COO and Head of Security Finance to oversee day-to-day operations, policy development, and the financial aspects of the business. Managed the planning and execution of strategic initiatives for driving prudent cost and resource management, revenue growth, and new product development strategy.

Spearheaded a two-year project to re-establish the security finance business, driving revenues from $0 to $25M annually via efficient margin box lending, short-selling process improvements, and the creation of the Fully Paid Security Lending program with $150M in client stock lending value.

Led new product development team in analyzing risk, economics, and front-to-back controls for over 30 new products/derivatives annually.

Managed the Financial Advisor (FA) recruiting due diligence process for Advice & Solutions that consisted of asset portability assessment, economic forecast, and strategic alignment and resulted in the recruiting 400 new financial advisors each year.

Led the initial phase of the Global Family Office (GFO) rollout project that provided the framework and infrastructure for a new U.S.-based division that supported $45B in assets with $200M in revenue.

Drove a 20% YOY reduction against a $100M divisional spend.

Defined strategy for a scheduled real estate footprint reduction of 30% that included 500 headcount.

UBS Financial Services, Inc. – Weehawken, NJ February 2005 to January 2010

EXECUTIVE DIRECTOR, U.S. Global Wealth Management - Controlling and AnalysisTeam

Tapped to build and manage the newly created Products & Services and Segment Controllers team that provided business analytics on all wealth management products and segments (UHNW, HNW, CA & EA). Recruited, hired, trained, and managed 20 professionals who served as business partners for financial reporting, forecasting, budgets, and business analytics for product lines and new product ventures.

Controlled and reported on an annualized $200M expense budget that included a headcount of 700. Consistently reduced YOY spending by 5% to 10%.

Developed financial models and forecasts of potential combined entities as a member of the acquisition due diligence team leading to the asset acquisition of two regional broker-dealers, a $70B increase in assets under management (AUM), and the integration of 600 Financial Advisors (Piper Jaffray and McDonald Investments).

Implemented a segment reporting process that analyzed revenues, product mix, ROA, net new money, and client relationships across four major segments and enabled the improved alignment of FA resources.

Partnered with product and segment teams in new product development and growth strategies, driving behavioral change in consultant compensation, and increasing revenues through business case development and validation.

UBS Financial Services, Inc. (formerly PaineWebber PCG) – Weehawken, NJ March 1999 to February 2005

FIRST VICE PRESIDENT, U.S. Wealth Management – Finance and Accounting

Directed operations and accounting functions that supported the company’s retail business and included business line analytics, cost allocations, employee forgivable loans, budget processes, and fixed assets. Managed a team of Retail Business Unit Controllers that provided reporting tools and analytics used by senior management teams to measure regional and branch performance against established targets and performance criteria.

Played a critical role in establishing a new FDIC regulated bank in Salt Lake City that provided products and services to retail clients. Created the processes and controls for the establishment of the bank with $30B in deposits and security backed lending and mortgage products.

Executive member of the due diligence team that performed a pre-acquisition analysis of the financial records that supported the acquisition of J.C. Bradford & Company with $40B in AUM and 800 financial advisors.

Enhanced bottom-line transparency and field costing practices with the implementation of an allocation methodology that reallocated $1B of support costs across branch office locations.

Spearheaded the automation of revenue recognition of $800M in annual fee-based revenue products.

Collaborated with senior management in preparing a $3B divisional expense budget.

Participated in the creation of “Managing for Profitability” books utilized by branch management to focus and reduce spending.

Integrated the former PaineWebber Private Client Group (PCG) entity into the UBS organization.

Career Note:

Early career roles include Senior Auditor at Deloitte and an executive-level career progression with PaineWebber/UBS

that includes Corporate Vice President and Business Unit Controller - Investment Banking, Divisional Vice President - Corporate Budgets & Allocations, and Divisional Vice President - Commodity Operations.

Education & Professional Development

Bachelor of Science, Accounting (Magna Cum Laude) – Montclair State College, Montclair, NJ

Certified Public Accountant (inactive status) Passed Series 99 for Ops Professionals

Community Involvement

McAuley Alumni Special Olympics Coach – founder and organizer of the McAuley Alumni Group that provides special needs young adults with opportunities to participate in NJ Special Olympics annual track and field events.

Youth Sports Coach – Assistant Coach for the town of Westfield.

Mulligan Homes LLC – Managing member and founder of new single family home construction business.

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