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Accounting Financial

Holbrook, NY
October 10, 2018

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Robert W. Francess, CPA



Financial professional with 20+ years of diversified experience leading finance and accounting operations within various industries including Financial

Services, Technology and Healthcare.



LinkedIn Profile


Phone 917-***-****

Public/private CPA, leader of corporate finance & accounting functions with a deep understanding of, and hands-on expertise in building accounting infrastructure for start-up and growing operations, establishing management controls, Sarbanes-Oxley (SOX), strategic planning, cash flow management and regulatory reporting.


OMA CONSULTING GROUP September 2017 – Present Consultant / Advisor: Provide hands-on accounting, tax, business strategy and management services, including ERP system implementation to small and mid-sized companies.

WORLD GOLD COUNCIL 2014 – 2017 Controller – Head of Global ETF Operations & SEC Financial Reporting: The World Gold Council is the market development organization for the gold industry.

• Responsible for reporting, accounting and operations for a family of global Exchange Traded Funds in excess of $40bn AUM – listed on NYSE Arca and foreign exchanges.

• Completed Form S-1 and launched new family of currency based Gold ETF’s.

• Prepared SEC and foreign regulatory reporting including 10Q quarterly filings, 10K annual filings, and ongoing maintenance, development and compliance with SOX.

• Responsible for the accounting books and records for all U.S. Legal Entities (Sponsor, Investment Advisor registered with CFTC) and consolidation into London parent company including revenue and expense allocations.

• Led SOX implementation, internal control processes and performance improvements.

BONDS.COM GROUP, INC 2012 – 2014 Financial Controller, FinOp: Publicly traded riskless principal broker/dealer that owned and operated an electronic fixed income trading platform.

• As the organization’s first financial controller, responsible for the development and oversight of the Corporate Finance team.

• Managed SEC Reporting including consolidated 10Q quarterly filings, 10K annual filings and development, implementation and compliance with SOX.

• Led FINRA Reporting including monthly FOCUS preparation, review and filing. Registered FinOp and financial liaison to FINRA.

• Implemented new general ledger system, management reporting processes, corporate equity management system (ESOP) and accounting policies and procedures.


• Financial Statement

Preparation & Analysis

• SEC Financial Reporting

• Sarbanes-Oxley

• Cash Flow &

Management Reporting

• Budgeting & Forecasting

• External Reporting

• Team Building &


• Corporate & Product

Accounting Operations

• Accounting Systems


• Financial Process Design

and Improvement

• Financial Controls

• Product Incubation &


• Human Resources

• Insurance, Facilities

• Information Technology

• Operational Due


• Microsoft Dynamics

Accounting Systems /


Robert W. Francess, CPA



GTI GROUP, LLC 2007 – 2011 Chief Financial Officer: A private equity firm managing $150M+ in assets which closed its New York office in 2011.

• Oversaw the accounting and reporting of several Venture Capital / Growth Equity portfolio companies within the Energy, Media, Healthcare and Aerospace sectors.

• Administered capital calls, fund accounting, waterfall distributions, tax, control and reporting of multiple domestic and offshore entities (LP’s, LLC’s and Ltd.’s.).

• Took part in fund raising activities, including preparation of deal books, model analysis, road shows and investor presentations and meetings.

• Managed accounting and operational due diligence on target acquisitions.

• Developed, implemented and enforced all Corporate Policies and Procedures. M.D. SASS INVESTORS SERVICES, INC 2003 – 2007 SVP - Chief Financial Officer: A leader in investment management with $13B AUM.

• Managed controllers, fund/portfolio administration, human resources, information technology and marketing support personnel – 48 employees spanning 4 locations.

• Responsible for all assets under management in excess of $13B, in a variety of financial products and investment vehicles. Products included distressed equities/debt/ABS, long/short equities, real estate and mezzanine lending, fund of funds, taxable fixed income, municipal bond arbitrage, commodities and other alternative strategies.

• Managed financial, tax and client reporting for 250+ separate accounts and 25+ limited partnership’s consisting of private equity and hedge fund vehicles.

• Managed financial and tax reporting for several Registered Investment Advisors, numerous privately held LLC’s and a single Broker Dealer.

• Implemented a new portfolio accounting and general ledger system platform.

• Managed all financial aspects of the CEO’s and President’s Family Office operations, including the maintenance and monitoring of several offshore trust vehicles.

• Responsible for the financial aspects of the CEO’s Charitable Organization.

• Prepared and presented monthly management reporting to management and Executive Committee.

• Administrated and managed firm-wide sales commission programs and senior management incentive compensation programs.

• Materially involved with the successful launching of several new hedge and private equity funds in addition to a joint venture partnership with a large foreign investment bank – worked alongside newly formed Sales & Marketing Team to raise capital for underlying funds.


Ramius Capital Group, LLC, Director – Global Controller, Feb 2007 – Aug 2007 Moore Capital Management, Inc., Assistant Controller, 2002 – 2003 Zurich Scudder Investments, Inc., VP – Assistant Controller, 1999 – 2002 KPMG LLP, Supervising Senior Accountant II, 1995 - 1999 EDUCATION

• Iona College

Bachelor of Business



• Certified Public

Accountant, New York

• Financial and

Operations Principal –

Series 27

Contact this candidate